(April 1, 2019)
Hudock Capital Group, LLC
Hudock Capital Group, LLC (“HCG”) believes it is essential that we maintain the privacy of the nonpublic personal information that you provide to us and that we obtain in connection with providing our products and services to you.
HCG limits the use, collection, and retention of such information to what we believe is necessary or useful to conduct our business and to provide and offer you quality products and services, as well as other opportunities that may be of interest to you. Information collected may include, but is not limited to, name, address, and telephone number, tax identification number, date of birth, employment status, annual income, net worth, and account balances.
In providing products and services to you, we collect nonpublic personal information about you from the following sources:
• Information we receive from you on applications or other forms (e.g. investment/insurance applications, new account forms, and other forms and agreements);
• Information about your transactions with us or others (e.g. broker/dealers, clearing firms, or other chosen investment sponsors); and
• Information we receive from consumer reporting agencies (e.g. credit bureaus), as well as other various materials we may use to put forth an appropriate recommendation, or to fill a service request.
HCG places strict limits on who receives specific information about your account(s) and other personally identifiable data. As a rule, we do not disclose to others your nonpublic personal information we collect. However, because we rely on certain third parties for services that enable us to provide our advisory services to you, such as our attorneys, auditors, other consultants, brokers, and custodians who, in the ordinary course of providing their services to us, may require access to information, we may share non-public personal information with such third parties. Additionally, we will share such information where required by legal or judicial process, such as a court order, or otherwise to the extent permitted under the federal privacy laws.
We may also disclose such information to others upon your instructions, listing applicable persons, and you may amend this provision, and/or rescind your request at any time in writing.
We restrict access to nonpublic personal information about you to those persons associated with HCG, who need access to such information in order to provide our products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
HCG reserves the right to change these privacy principles, and any of the policies or procedures described above, at any time, without prior notice. However, you will be promptly provided with a current copy of our Privacy Notice when the client relationship is established, upon material changes, or upon written request. These privacy principles are for general guidance and do not constitute a contract or create legal rights, and do not modify or amend any agreements we have with you.
If you have questions about this privacy notice, or if you wish to amend or rescind your written instructions at any time, please call Wayne L. Dieffenderfer at (570) 326-9500.
Hudock Capital Group (“HCG”) is an SEC registered investment advisor located in Williamsport, Pennsylvania. HCG and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which HCG maintains clients. HCG may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. SEC registration does not constitute an endorsement of the firm by the Commission nor does it indicate that the advisor has attained a particular level of skill or ability.
HCG’s website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of HCG’s website on the internet should not be construed by any consumer and/or prospective client as HCG’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation over the internet. Any subsequent, direct communication by HCG with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.
For information pertaining to the registration status of HCG, please contact the SEC or the state securities regulators for those states in which HCG maintains a notice filing,
A copy of HCG’s current written disclosure brochure discussing HCG’s business operations, services, and fees is available by selecting the hyperlinks located at the top of this page or by submitting a written request to HCG.
Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by HCG), will be profitable or equal any historical performance level(s).
Certain portions of HCG’s website (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and /or provide access to, HCG (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from HCG, or from any other investment professional. HCG is neither an attorney nor an accountant and no portion of the website content should be interpreted as legal, accounting, or tax advice.
Some of the persons providing investment advice on behalf of our Firm are registered representatives of APW Capital, Inc., a securities broker/dealer and member FINRA/SIPC. In their capacity as registered representatives, these persons will receive commission-based compensation in connection with the purchase and sale of securities, including 12b-1 distribution fees from the sale of investment company products (mutual funds). They may also receive commission-based compensation for selling insurance. Compensation earned by these persons in their capacities as registered representatives is separate and in addition to any advisory fees the client may have agreed to in writing.
Third-party rankings from Barron’s and other ranking services are no guarantee of future investment success. Working with a highly rated advisor does not ensure that a client or prospective client will experience a higher level of performance. Rankings and /or recognition by any unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if HCG is engaged, or continues to be engaged, to a provide investment advisory service, nor should it be construed as a current or past endorsement of HCG by any of its clients. Rankings published by magazines and others, generally base their selections exclusively on information prepared and/or submitted by the recognized advisor.
The Barron’s rankings, in particular, are based on the volume of assets managed by advisors and their teams, revenues generated, and the quality of the advisor’s practices. The quality of practice component of the ranking includes regulatory record, length of time in the industry, charitable and philanthropic work and other factors. Investment performance is not an explicit criterion, because clients’ investment goals differ. A full description of the criteria used in formulating these ratings is available upon request.
To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to HCG’s website, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from HCG, or from any other investment professional.
Each client and prospective client agrees, as a condition precedent to his/her/its access to HCG’s website, to release and hold harmless HCG, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and /or omissions which are independent of his/her/its receipt of personalized individual advice from HCG.