To comply with Rule 30 of Regulation S-P (“Regulation S-P”) issued by the U.S. Securities and Exchange
Commission (“SEC”) and the Federal Trade Commission (“FTC”) Safeguard Rules, Plains Coastal, LLC
Plains Coastal, LLC recognizes that our relationships with current and prospective clients are based on
integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our
relationship with you. We place the highest value on the information you share with us. Plains Coastal,
LLC will not disclose your personal information to anyone unless it is required by law or at your direction.
We will not sell your personal information. Plains Coastal, LLC will provide the privacy statement to all
We want our clients to understand what information we collect, how we use it, and how we protect it
We gather information about you so that we can:
Help design and implement the investment and planning related services we provide you; and
Comply with the Federal and State laws and regulations that govern us.
We may collect the following types of “nonpublic personal information” about you:
Information from our initial meeting or subsequent consultations about your identity, such as your name,
address, social security number, date of birth, and financial information.
Information that we generate to service your financial needs.
Information that we may receive from third parties with respect to your financial profile.
We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain
circumstances. For example, in order for us to provide planning or investment management services to
you, we may disclose your personal information in limited circumstances to various service providers. We
do not disclose the nonpublic personal information we collect about our customers to anyone except: (i) in
furtherance of our business relationship which we conduct on their behalf, and then only to those persons
necessary to effect the transactions and provide the services that they authorize (such as broker-dealers,
custodians, independent managers etc.); (ii) to persons assessing our compliance with industry standards
(e.g., professional licensing authorities, etc.); (iii) our attorneys, accountants, and auditors (to the extent
necessary); or (iv) as otherwise provided by law. We are permitted by law to disclose the nonpublic
personal information about you to governmental agencies and other third parties in certain circumstances
(such as third parties that perform administrative services on our behalf). These third parties are
prohibited to use or share the information for any other purpose. If you decide at some point to either
as may be amended from time to time. If the Financial Planner/Financial Adviser leaves Plains Coastal,
LLC to join another firm, he or she may be permitted to retain copies of client information so that they can
assist with the transfer of client accounts and continue to serve the client at their new firm.
“Opting-Out” of Third Party Disclosures: If you do not want your Financial Planner/Financial Adviser to
retain copies of your client sensitive information when he or she leaves us to join another firm, you may
contact us by calling (805) 855-0292.
Otherwise, Plains Coastal, LLC will not disclose any personal information about you or your account(s)
unless one of the following conditions is met:
We receive your prior written consent; or
We have documentation that the recipient is your authorized representative; or
We are required by law to disclose information to the recipient
Arrangements with companies not affiliated with Plains Coastal, LLC will be subject to confidentiality
Privacy has always been important to Plains Coastal, LLC. We restrict and limit access to client
information only to those who need to carry out their business functions. We educate employees about
safeguarding client information and preventing its unauthorized access, disclosure, or use. Employees
maintain physical, electronic, and procedural safeguards to protect your confidential personal information.
Our policy about obtaining and disclosing information may change from time to time. We will provide you
notice of any material change to this policy before we implement the change.