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Booth Financial Privacy Policy

Four things to note about our privacy policy:

1. As a licensed financial advisor and fiduciary, we are legally required to maintain the privacy and confidentiality of your nonpublic information pursuant to SEC regulations.

2. If you are not an active client of our firm but have shared sensitive information with us, it is securely stored in our document management system. Your general contact information (i.e., non-sensitive information) is safely and securely stored in our Contact Management System (CRM), Advison.

3. If you are an active client of our firm, we are only authorized to share your information with third parties to the extent necessary to deliver the services you have hired us to perform. For example, if you are an active client of our firm, we would need to provide certain information to TD Ameritrade to open/transfer accounts and manage your investments. We DO NOT sell your information to anyone and DO NOT share your information with any third-party for any other purpose except to render the services you’ve hired us to provide.

4. We take the privacy of your information very seriously and are required to ask for your express written consent before sharing your information with anyone outside of the limited circumstances noted above and below.

Yours Truly,

Breland Booth

Founder and President
Booth Financial

What does Booth Financial do with your personal information?


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.


The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social Security number
  • Financial account balances, holdings, and transaction history
  • Investment experience, income, and assets

When you are no longer our customer, we continue to share your information as described in this notice.


All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their clients’ personal information; the reasons clients choose to share; and whether you can limit this sharing.


For our everyday business purposes—

such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Yes No

For our marketing purposes—

in order to offer our products and services to you

Yes No
For joint marketing with other financial companies No N/A

For our affiliates’ everyday business purposes—

information about your transactions and experiences

No N/A

For our affiliates’ everyday business purposes—

information about your creditworthiness

No N/A
For nonaffiliates to market to you No N/A

Booth Financial Privacy Policy (banner across this section of page)

How does Booth Financial collect my personal information?

We collect your personal information, for example, when you

  • Sign an investment advisory agreement
  • Open an account
  • Request investment or financial planning advice
  • Tell us about your investment or retirement portfolio

How does Booth Financial 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, as well as other physical, electronic and procedural safeguards.

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

  • sharing for affiliates’ everyday business purposes—information about your creditworthiness
  • affiliates from using your information to market to you sharing for nonaffiliates to market to you
  • State laws and individual companies may give you additional rights to limit sharing.



Companies related by common ownership or control. They can be financial and nonfinancial companies.

  • N/A


Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • We do not share with nonaffiliates so they can market to you

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

  • We do not jointly market to you