In the normal course of providing financial advice and/or recommendations, CORE Financial, Inc. is required to obtain certain personal and private information from clients and prospective clients. We are committed to protecting this personal information from unauthorized access and use. The following information details our commitment and efforts to safeguard and protect personal and private information.


Our only source of obtaining personal and private information is directly from our clients and prospective clients. CORE Financial, Inc. does not sell or rent information about clients or prospective clients to any outside party. However, in order to conduct our business and offer you the products and services that you have agreed to implement, we may be required to share your information as allowed or required by law.

  • For example, we cannot establish an IRA on your behalf with a mutual fund company or a set up a life policy with an insurance company without providing them with the information required to verify your identity and establish your account or policy.

Financial companies (including ours) are required by law to obtain certain personal and private information in order to accomplish one or more of the following:

  • Satisfy the “know your customer” rule;
  • Verify accurate identity;
  • Accurately underwrite an insurance policy;
  • Establish and investment account;
  • Establish a legitimate purpose for each account.

These tasks, along with others, allow financial companies to ensure suitable recommendations are made, provide the best available premiums, and help eliminate illegal activity on the part of the client or financial advisor.

When we are required to share information with outside companies to establish an account on a client’s behalf, we only do so after receiving authorization from the client or prospective client.