Disclosure

Facts

What does Baker Tilly Capital, LLC do with your personal information?

Why?

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.

What?

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 
  • Income
  • Employment Information
  • Risk Tolerance
  • Investment Experience
  • Retirement Assets

How?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Baker Tilly Capital, LLC chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information

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

Does Baker Tilly Capital, LLC share? Yes

Can you limit this sharing? No

For our marketing purposes — to offer our products and services to you

Does Baker Tilly Capital, LLC share? No

Can you limit this sharing? We don't share

For joint marketing with other financial companies

Does Baker Tilly Capital, LLC share? No

Can you limit this sharing? We don't share

For our affiliates’ everyday business purposes — information about your transactions and experiences

Does Baker Tilly Capital, LLC share? Yes

Can you limit this sharing? Yes

For our affiliates’ everyday business purposes — information about your creditworthiness

Does Baker Tilly Capital, LLC share? No

Can you limit this sharing? We don't share

For our affiliates’ to market to you

Does Baker Tilly Capital, LLC share? No

Can you limit this sharing? We don't share

For nonaffiliates to market to you

Does Baker Tilly Capital, LLC share? No

Can you limit this sharing? We don't share

To limit  our sharing

  • Call +1 (800) 362 7301 — our menu will prompt you through your choice(s)
  • Visit us online: bakertilly.com

Please note:

If you are a new customer, we can begin sharing your information 5 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice.

However, you can contact us at any time to limit our sharing. 

Questions?

Call +1 (800) 362 7301 or go to bakertilly.com

Who we are

Who is providing this notice? Baker Tilly Capital, LLC

What we do

How does Baker Tilly Capital, LLC 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.

We restrict access to your personal information to those employees who need it to perform their job responsibilities.

How does Baker Tilly Capital, LLC collect my personal information? We collect your personal information, for example, when you

  • seek a private placement investment
  • enter into an agreement with Baker Tilly Capital, LLC

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.

What happens when I limit sharing for an account I hold jointly with someone else?

We will stop sharing all information about that account.

Definitions

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

  • Our parent accounting firm Baker Tilly Virchow Krause, LLP, is our only affiliate with whom we might share your information.

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

  • Nonaffiliates with whom we can share include issuers of private placements or other financial institutions.

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

  • Baker Tilly Capital, LLC, does not joint market

Other important information

You may also opt out from sharing your information by contacting us.

Securities are offered through Baker Tilly Capital, LLC, Member FINRA and SIPC; Office of Supervisory Jurisdiction located at Ten Terrace Court, Madison, WI 53718; phone +1 (800) 362 7301. Baker Tilly Capital, LLC a wholly owned subsidiary of Baker Tilly Virchow Krause, LLP, an accounting firm. Baker Tilly Virchow Krause, LLP is an independently owned and managed Member of Baker Tilly International.