Privacy Policy

CUE believes the privacy of our clients is a major priority.

We collect personal information to open your account(s), to process your transactions, and to help us provide a better level of service. Our relationship with you is of primary importance. We understand that you have entrusted us with your personal financial information, and we will do everything we can to maintain that trust.

CUE’s privacy policy applies to consumers who are current or former CUE investment and insurance clients, or who transfer accounts to us. Throughout this notice, we refer to any information that personally identifies you or your accounts as “personal information.”

1. We do not sell your personal information to anyone.
2. We do not include an opt-out provision, because we do not sell or give your information away.
3.

We do not disclose personal information to third parties, unless one of the following limited exceptions applies:

  • We disclose personal information to affiliated companies and other financial institutions that help us process, clear, service, or maintain your account(s), such as mutual fund companies or our clearing firm.
  • We only share personal information such a names, addresses and existence of accounts with financial institutions that we have marketing agreements with, including banks and credit unions, so they can assist us in marketing to their members and clients. This information is limited to the institution with which the client already has a relationship, and each institution has a privacy policy in place, which also limits their use of such information.
  • We may report or disclose personal information (in limited circumstances), where we believe in good faith that the disclosure is required or permitted by law. For example: in cooperation with regulators or law enforcement authorities, to resolve customer disputes or in response to subpoena or court orders, or in compliance with requirements of the Patriot Act under which we are required to report certain types of financial transactions.

Other than these exceptions, we will not share your personal information with third parties unless you request it, such as for a credit report or mortgage application.

4.

We collect personal information in the normal course of business in order to administer your account and to serve you better.

  • If you open an account with us, or attend one of our seminars, we collect application and registration information such as name, address, phone number, e-mail address, social security number, and information about your finances, income, debts, investments and investment experience, in order to properly handle your account.
  • Transaction information is collected and maintained, including such items as statements, account balances with providers, and similar information so our personnel may effectively service your account and fulfill our regulatory responsibilities.
  • CUE is a wholly owned subsidiary of CUE Financial Group, Inc., and both companies have agreements with several credit unions and banks to provide third-party investment and insurance services to their members and clientele. To this end, CUE may share personal information for marketing purposes with these entities, if our clients is in their field of membership. All of these entities follow similar privacy policies.
5.

CUE protects the confidentiality and security of your personal information.

  • Companies that we do business with are not allowed to use your personal information for their own purposes, and are contractually obligated to maintain your privacy. We limit the information they are given to the specific product or service we have requested.
  • We restrict access to personal information to our employees and representatives for business purposes only. All employees are trained and required to safeguard such information
  • We maintain physical, electronic, and procedural safeguards to protect your personal information.

We continue to evaluate our efforts to protect your personal information and to keep it it as accurate and up-to-date as possible. If you discover any inaccuracy in your personal information or need to make any change in that information, please contact us so that we can promptly update our records.

If at any time in the future it is necessary to disclose any of your personal information that is inconsistent with this policy, we will give you advance notice so that you may opt out of such disclosure.

CUE Financial Group sets high standards and has a strong commitment to protect customers’ privacy. When a user enters the CUE Financial Group Web site, our web server automatically recognizes the consumer’s domain name, but not the e-mail address. This enables us to collect aggregate information on what pages consumers visit, information volunteered by the consumer, such as survey information and/or site registrations, and the e-mail address of those who communicate with us via e-mail.

The information we collect is used to ensure quality customer service, to improve the content of our Web site, to notify consumers about updates to our Web site and to contact consumers for marketing purposes.

The CUE Financial Group website does use cookies. “Cookies” are small pieces of information that are stored by your browser on your computer’s hard drive. Our cookies do not contain any personally identifying information, but they do enable us to facilitate access to different aspects of your account across our website. Most Web browsers automatically accept cookies, but you can usually change your browser to prevent that.

If you do not want to receive e-mail from us in the future, please let us know by e-mailing us at dcook@cuefinancial.com. We will remove your name from our list.

If you supply us with your postal address on-line you will only receive the information for which you provided us your address. Persons who supply us with their telephone numbers on-line will only receive telephone contact from us with information regarding orders they have placed on-line.

With respect to security, we always use industry-standard encryption technologies when transferring and receiving consumer data exchanged with our site. We have appropriate security measures in place in our physical facilities to protect against the loss, misuse or alteration of information that we have collected from you at our site.

If you feel that this site is not following its stated information policy, you may contact us at the address or phone number below.

CUE Financial Group, Inc.
3200 North Central Ave., Ste. 200
Phoenix, Arizona 85012
t: (800) 648-6049
e: dcook@cuefinancial.com

 

Business Continuity Plan (BCP)

While CUE has a detailed, intricate business continuity plan, there are several items that directly impact our customers, Here are some things you need to know about our plan.

How will I access my funds in the event of a business disturbance?

We do not hold customer funds or securities at our office. They are held at our clearing firm, Pershing, LLC. In the event of an internal or external disruption, our registered persons will take customer orders or instructions and contact our clearing firm via the phone. If phone service is unavailable, we will additionally utilize the Internet by posting an announcement that customers can access their funds by calling Judith Kuplic at (800) 648-6049.

In the event of a disturbance, how will CUE continue to do business?

If telephone lines are available, CUE’s phones will answered from an alternate site and all calls will be forwarded to the appropriate person. All customer information will be available to the appropriate representative via software programs that are accessible from alternate locations via the web. Through these systems, we will be able to continue to take and enter orders and execute them. We will be able to issue checks, deposit customer funds, wire money and process securities for deposit. If, for some reason, because of internal or external disturbances we are unable to process these things at our location, we will encourage clients to contact Pershing directly at (800)443-4342. Pershing can also be reached via the web at www.Pershing.com. Another option to reach Pershing is by contacting Technology Customer service at (201) 413-2001.

How does CUE back up its data?

On site, back-up tapes from our mainframe computer are created daily and stored in a fire proof cabinet. Twice weekly, those back-up tapes are taken to an off-site safety deposit box and stored. In the event of an internal or external disturbance, these tapes will help recreate our files.

How will CUE keep in touch with me in the event of a disturbance?

We will continue to use every option available to us to maintain communication with our customers – telephone, fax, email and US Mail. In addition, we can be reached by contacting us through our Internet site www.cuefinancial.com.