ABD and its representatives collect nonpublic personal information about you from applications and other forms, which they receive from you and from oral and e-mail communications. We may also receive information from consumer reporting agencies and vendors you have engaged for service. ABD and its representatives, in the course of their business, will share this information that they collect with each other and with unaffiliated third parties (mutual funds, retirement plan providers, auditors, e.g.) for use in servicing your plan.
We restrict access to nonpublic personal information about you to those representatives and employees who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
Business Continuity Plan
In accordance with federal requirements ABD maintains a Business Continuity Plan (BCP) that describes what steps will be taken to ensure the continuity of our business operation in the event of an unanticipated disaster. The plan has been designed with procedures to ensure that client documentation will be accessible and that contact between ABD and its clients will be sustained. All statements and assets queries should be directed towards the plan provider. Copies of the BCP are available upon request.
Anti-Money Laundering Procedures
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each entity that opens an account. What this means for you: When you open an account, or engage our company for services we will ask for certain information that will allow us to identify you.
FINRA Public Disclosure Program
FINRA’s BrokerCheck Hotline provides certain information regarding the disciplinary history of FINRA members and their associated person in response to written inquiries, electronic inquiries, or telephonic inquiries via FINRA’s (1) toll-free telephone is 1-800-289-9999, or (2) website at www.finra.org. Additionally, FINRA has prepared an investor brochure that includes information describing BrokerCheck.
Form ADV Brochure
Follow the link below to find the following documents:
If you have any questions about any of the disclosures mentioned in this document, or wish to opt of information sharing, please contact ABD Retirement Services, Inc. at (415) 639-9822 or 401kHelp@theabdteam.com.