Collection of Private personal information from you
To become an Axos Invest Client, you are required to provide additional identifying and background information including, but not limited to: your full legal name, certain contact information, date of birth, social security number, ID information, current and expected financial status, and other identifiable information as required by our regulators to open or service your account (collectively, “non-public information” or “NPI”). This NPI is collected so we may provide our services (brokerage & advisory) in accordance with the rules and regulations of Financial Regulatory Authority, Securities and Exchange Commission, or any federal or state regulatory authorities.
Axos Invest's servers will process all information you provide to Axos Invest for the following purposes: displaying and formatting personal information on the Site, delivering related content and other purposes related to the Site.
Axos Invest's Clients may have additional NPI collected and used to perform trades on their behalves, display investing activity in their accounts, and calculating their portfolio performances.
Protection & Usage of Private Personal Information
We use your NPI for a variety of purposes, including providing you with services. We use your personal information to do things like:
- Processing trading orders.
- Respond to legal process and emergencies.
- Develop or inform you of new products and services.
- Monitor, evaluate or improve our products, services and systems.
Axos Invest reserves the right to include Users and Clients personal information in data analysis, reports, and trend analyses, provided that Users and Clients are protected wherein their personal information will never be individually identifiable without explicit consent. The uses and results of these reports and analyses may be made available to all Users, Clients, or the public at large.
Axos Invest reserves the right to send you information related to the Firm's Services, blog, and your account, if you are a Client. If at any time you decide you would no longer wish to receive marketing communications from Axos Invest, follow the “unsubscribe” steps provided in previous communications.
Sharing of Private Personal Information
We do not sell personally identifiable information about current or former clients to third parties. We do not share information that identifies you personally with third parties other than as follows:
We may share personal and non-personal information with affiliated entities for approved business purposes. The data may include User information including name, address, and phone number, and transactional information. To opt out of any marketing communications from our affiliated companies, Axos Invest LLC, Axos Bank, or Axos Clearing LLC, you may email us at firstname.lastname@example.org.
In compliance with federal and state laws, we may disclose information we collect about our customers and former customers, as described above, to non-affiliated financial services companies (such as your custodian) who effect transactions on your behalf. To do this, Axos Invest may share personal information including your account activity (your transactions, balances, positions and history, etc.). This information allows us to administer your account and provide the services that you have requested. These non-affiliated financial services companies are required to treat your private information with the same high degree of confidentiality that we do and only for the services for which they are engaged.
We may also disclose information to non-affiliated parties as allowed by law, such as in responding to a subpoena, preventing fraud, or complying with an inquiry by a government agency or regulator.
Personal Information of minors
Axos Invest's services are not intended and are prohibited for the use of anyone under the age of 18. In compliance with the Children's Online Privacy Protection Rule, if we receive any information from a child under the age of 18, we will promptly notify the parent or legal guardian of the child and present our privacy notice to the individual. In addition, we will delete all information given to us by children under the age of 18 as we become aware of such happenings.
If a parent or guardian becomes aware that his or her child under the age of 18 has provided Axos Invest with personally identifiable information without his or her consent, he or she should contact us at email@example.com.
Site Usage Information
When the public accesses the Site, Axos Invest automatically records and retains certain information about the public's usage of the Site through implementation of cookies and other third-party tracking services, such as Google Analytics.
We may share limited personal information (name, account status/active or inactive, reward payment) with non-Axos Invest entities (such as potential clients who were referred by you) as required by Rule 206(4)-3 of the Investment Advisers Act of 1940.
If you have any questions or complaints that concern this Policy, please call us at (888)-585-4965 or email us at firstname.lastname@example.org. If you prefer, you also may write us at Axos Invest, Inc., Attn: Compliance Department, 9205 West Russell Road, Las Vegas, NV 89148 . To send us a legal notice relating to this Policy, please send it to the address listed in the previous sentence.
We may change this Policy at any time. When we change the Policy we will give notice by changing the date it was last updated or as required by law.
Your California Privacy Rights
Axos Invest shares personal information between affiliates of Axos Financial for marketing purposes. We do not share your personal information with unaffiliated third parties for their own independent marketing purposes. California residents may request the categories of personal information Axos Invest shared with affiliates for the third parties' direct marketing purposes during the previous calendar year, if any. To make your request, please send an email to email@example.com. Written requests may be sent to the Axos Invest, Inc., Attn: Compliance Department, 9205 West Russell Road, Las Vegas, NV 89148. Axos Invest will respond to these requests within 30 days. Requests that come to Axos Invest by other means may result in a delayed response.
Your Nevada Privacy Rights
We may electronically notify existing customers with offers for additional financial products. You have the right to opt-out of this contact by calling (888)-585-4965, or by e-mail at firstname.lastname@example.org, to add your name to our do-not-call/contact list. Nevada residents may also contact the Nevada Attorney General for opt out information by phone (775-684-1100); email (email@example.com); or mail (100 N Carson St., Carson City, NV 89701).
Social Media Disclosure
Any statements made via Axos Invest social media sites are not intended as investment, tax, or legal advice. You should not assume that any discussion or information presented on this site serves as the receipt of, or as a substitute for, personalized financial, investment or tax advice. The information presented on this site shall not constitute, a solicitation or offering of securities in any jurisdiction. Investments may lose value, and are not insured by the Federal Deposit Insurance Corporation (FDIC) or government guaranteed. Keep in mind, any performance that has occurred previously is not an indication of how your investment will perform in the future. Axos Invest reserves the right to remove any comment that we deem to be an investment testimonial, spam, offensive or otherwise inappropriate. Axos Invest, Inc. will not treat any social media post as a formal complaint.
Any third-party links provided in our social media are offered as a matter of convenience and are not intended to imply that Axos Invest, its directors, officers or employees endorse, sponsor, promote, and/or are affiliated with the owners of or participants in those sites, or endorses any information contained on those sites, unless expressly stated otherwise.
Axos Invest grants access to our social media pages for informational purposes only. Axos Invest does not provide any warranties, expressed or implied, regarding the accuracy, completeness, timeliness, or results obtained from any information posted on the website or any third party website linked to this website.