DISCLOSURE
Investment Advisory Services offered through Trek Financial, LLC., an SEC Registered Investment Adviser.
For tax advice consult with a qualified tax professional.
For legal advice consult with an attorney.
Information presented is for educational purposes only. It should not be considered specific investment advice, does not take into consideration your specific situation, and does not intend to make an offer or solicitation for the sale or purchase of any securities or investment strategies. Investments involve risk and are not guaranteed, and past performance is no guarantee of future results. For specific tax advice on any strategy, consult with a qualified tax professional before implementing any strategy discussed herein.
Third party content providers include: MarketingPro, Inc., and Broadridge Investment Communication Solutions, Inc.:
Material prepared by MarketingPro, Inc., does not necessarily represent the views of the presenting party, nor their affiliates. The information herein has been derived from sources believed to be accurate. Please note – investing involves risk, and past performance is no guarantee of future results. Investments will fluctuate and when redeemed may be worth more or less than when originally invested. This information should not be construed as investment, tax or legal advice and may not be relied on for the purpose of avoiding any Federal tax penalty. This is neither a solicitation nor recommendation to purchase or sell any investment or insurance product or service, and should not be relied upon as such.
PRIVACY POLICY
FACTS
What Does Trek Capital Management (“Trek”) Do With Your Personal Information?
THE LAW
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do.
OUR POLICY
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
- Income
- Employment and residential information
- Social security number
- Cash balance
- Security balances
- Transaction detail history
- Investment objectives, goals, and risk tolerance
When you are no longer our customer, we continue to share your information as described in this notice.
YOUR RIGHTS
All financial companies need to share customers’ personal information to run their everyday business. We list below the reasons financial companies can share their customers’ personal information; the reasons Trek chooses to share; and whether you can limit this sharing.
DEFINITIONS
Everyday Business Purposes: The actions necessary by financial companies to run their business and manage customer accounts, such as providing investment advisory and financial planning advice, processing securities transactions, and otherwise providing financial services to you.
Affiliates: Companies related by common ownership or control. They can be financial and non-financial companies. Trek has no affiliates.
Non-Affiliates: Companies not related by common ownership or control. They can be financial and non-financial companies. Trek does not share information with non-affiliates for marketing purposes.
Joint Marketing: A formal agreement between non-affiliated financial companies that together market financial products or services to you. Trek does not engage in joint marketing with non-affiliates.
Reasons we can share your personal information
For our everyday business purposes—such as to provide advice, process your transactions, and maintain your account(s)
Does Trek Share? Yes Can you limit this sharing? No
For our marketing purposes—to offer our products and services to you
Does Trek Share? Yes Can you limit this sharing? No
For joint marketing with other financial companies
Does Trek Share? No Can you limit this sharing? We do not share
For our affiliates’ everyday business purposes—information about your transactions and experiences
Does Trek Share? No Can you limit this sharing? We do not share
For our affiliates’ everyday business purposes—information about your creditworthiness
Does Trek Share? No Can you limit this sharing? We do not share
For our affiliates to market to you
Does Trek Share? No Can you limit this sharing? We do not share
For non-affiliates to market to you
Does Trek Share? No Can you limit this sharing? We do not share
Contact us: Call Trek at 480-483-1510
SHARING PRACTICES
How often does Trek notify me about their practices?
We must notify you about our sharing practices when you open an account and each year while you are a customer.
How does Trek protect my personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does Trek collect my personal information?
We collect your personal information, for example, when you
- establish an investment advisory relationship
- contract for financial planning services
- open an account or deposit money with custodians
- purchase or sell securities with executing broker-dealers
We also collect your personal information from others, such as custodians, broker-dealers, or other companies.
Why can’t I limit all sharing?
Federal law gives you the right to limit sharing only for
- affiliates’ everyday business purposes—information about your creditworthiness
- affiliates to market to you
- non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
If you would like a copy of the Trek Capital Management Form ADV Part 2A and 2B, please send a written request to:
Trek Capital Management
8355 E Hartford Dr. Suite 105
Scottsdale, AZ 85255
If you wish to modify or impose reasonable restrictions concerning the management of your account, or if your financial situation, investment objectives, or risk tolerance have changed, please contact your Trek Capital Management investment advisor representative or contact Justin Young at 480-483-1510. We will contact you at least annually to determine if your investment goals, objectives, and risk tolerance have changed.
We urge that you advise us immediately if you have not received your custodian or brokerage statement, which is required to be delivered to you no less frequently than quarterly. In addition, please compare any account information provided by us with account statements from your broker-dealer or custodian and to advise us of any discrepancies. The official record of your account is maintained by your broker-dealer or custodian. Thank you.
WEB SITE TERMS AND CONDITION OF USE
1. Terms
By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trade mark law.
2. Use License
- Permission is granted to temporarily download one copy of the materials (information or software) on World Equity Group’s web site for personal, non-commercial transitory viewing only. This is the grant of a license, not a transfer of title, and under this license you may not:
- modify or copy the materials;
- use the materials for any commercial purpose, or for any public display (commercial or non-commercial);
- attempt to decompile or reverse engineer any software contained on Trek Financial’s web site;
- remove any copyright or other proprietary notations from the materials; or
- transfer the materials to another person or “mirror” the materials on any other server.
- This license shall automatically terminate if you violate any of these restrictions and may be terminated by Trek Financial at any time. Upon terminating your viewing of these materials or upon the termination of this license, you must destroy any downloaded materials in your possession whether in electronic or printed format.
3. Disclaimer
- The materials on Trek Financial’s web site are provided “as is”. Trek Financial makes no warranties, expressed or implied, and hereby disclaims and negates all other warranties, including without limitation, implied warranties or conditions of merchantability, fitness for a particular purpose, or non-infringement of intellectual property or other violation of rights. Further, Trek Financial does not warrant or make any representations concerning the accuracy, likely results, or reliability of the use of the materials on its Internet web site or otherwise relating to such materials or on any sites linked to this site.
4. Limitations
In no event shall Trek Financial or its suppliers be liable for any damages (including, without limitation, damages for loss of data or profit, or due to business interruption,) arising out of the use or inability to use the materials on Trek Financial’s Internet site, even if Trek Financial or a Trek Financial authorized representative has been notified orally or in writing of the possibility of such damage. Because some jurisdictions do not allow limitations on implied warranties, or limitations of liability for consequential or incidental damages, these limitations may not apply to you.
5. Revisions and Errata
The materials appearing on Trek Financial’s web site could include technical, typographical, or photographic errors. Trek Financial does not warrant that any of the materials on its web site are accurate, complete, or current. Trek Financial may make changes to the materials contained on its web site at any time without notice. Trek Financial does not, however, make any commitment to update the materials.
6. Links
Trek Financial has not reviewed all of the sites linked to its Internet web site and is not responsible for the contents of any such linked site. The inclusion of any link does not imply endorsement by Trek Financial of the site. Use of any such linked web site is at the user’s own risk.
7. Site Terms of Use Modifications
Trek Financial may revise these terms of use for its web site at any time without notice. By using this web site you are agreeing to be bound by the then current version of these Terms and Conditions of Use.
8. Governing Law
Any claim relating to Trek Financial’s web site shall be governed by the laws of the State of Utah without regard to its conflict of law provisions.
General Terms and Conditions applicable to Use of a Web Site.
SITE DISCLAIMERS
Some of the content on this site was prepared by MarketingPro, Inc., and does not necessarily represent the views of the presenting party, nor their affiliates. This information has been derived from sources believed to be accurate. Please note – investing involves risk, and past performance is no guarantee of future results. The publisher is not engaged in rendering legal, accounting or other professional services. If assistance is needed, the reader is advised to engage the services of a competent professional. This information should not be construed as investment, tax or legal advice and may not be relied on for the purpose of avoiding any Federal tax penalty. This is neither a solicitation nor recommendation to purchase or sell any investment or insurance product or service, and should not be relied upon as such. All indices are unmanaged and are not illustrative of any particular investment.
This site has been published in the United States for residents of the United States. The foregoing has been prepared solely for information purposes, and is not an offer to buy or sell or a solicitation of an offer to buy or sell any security or instrument or to participate in any particular trading strategy.
Trek Financial and any of its employees acting as an agent, may only transact business in a particular state if first registered, excluded, or exempted from registration requirements either individually or as a firm. In addition, follow up conversations or meetings with individuals in a particular state by either Trek Financial or its employees acting as agent, to effect transactions in securities or discuss securities, investment planning, or other personal investment advice will not be made without first becoming registered, excluded, or exempted from registration requirements either individually or as a firm.
Links to Third-Party Sites
The Trek Financial Web-site contains hyperlinks to other Web sites. Individuals and/or groups other than Trek Financial operate and are responsible for all content on these sites. Trek Financial provides these hyperlinks as a courtesy for our visitors to use at their discretion. Trek Financial, affiliates, agents or representatives are not responsible for the availability of these external sites, nor are they responsible for any of the content, advertising, products or other materials on these external sites. Trek Financial does not imply any endorsement of the material on a website. Under no circumstances shall Trek Financial be held responsible or liable, directly or indirectly, for any loss or damage caused or alleged to have been caused in connection with the use or reliance on any content, goods or services available on an external site. Any concerns or questions regarding material or content contained within these external sites should be directed to the respective organization.