Vision Financial Services LLC   Privacy Policy

We collect nonpublic personal information about you from the following sources: Information we receive from you on applications or other forms; Information about your transactions with us, our affiliates, or other parties such as any unaffiliated broker dealers.. We do not disclose any nonpublic personal information about our customers or former customers to anyone, including nonaffiliated third parties, except as both permitted by law and agreed to in advance by our clients, or as may be legally required by subpoena. That information may include: your name, address, social security number, assets, income, information about your transactions with us, our affiliates, or others, such as your account balance, payment history, and parties to transaction. We do not exchange information with any consumer-reporting agency.

Confidentiality and Security

We restrict access to nonpublic personal information about you to those employees who need to know that information in order to provide 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 discontinue being a client of our firm, we will continue to protect your nonpublic, personal information in the same manner as before.
If we discover that a breach of security by any unauthorized person has occurred regarding the data our firm has collected from you,  we will notify you as quickly as is reasonably possible, pending any investigation by authorities.  We will inform the owner or licensee also of the breach, its date if known and the nature of the breach without disclosing specific information on you, our client.  If you are a resident of the State of Illinois we are required to have your positive statement of permission to allow us to share your personal, non-public information with other parties you have indicated you wish us to contact on your behalf, such as a broker/dealer.

As required by FINRA Rule 2165, Vision Financial Services LLC’s registered representative must ask non-institutional clients if they will name a “trusted contact person”.
Trusted Contact Person- Vision Financial Services LLC and its registered representatives are authorized to contact the trusted contact person and disclose information about the customer's account(s) to address possible financial exploitation, to confirm the specifics of the customer's current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by Rule 2165.


Harbour Investments, Inc. understands that you are concerned about the confidentiality of the financial and personal information you give our firm in the normal course of our conducting securities transactions and providing related investment services. Our Privacy Policy has been reasonably designed to ensure the security of your financial and personal information.What information will we collect? The financial and personal information you disclose to us (nonpublic personal information) is essential to Harbour Investments and its representatives as we assist you in choosing quality investment products and services suited to your needs. This information includes your name, address, date of birth, social security number, occupation, assets, income, investment objectives and so forth. Nonpublic personal information is gathered from the following sources: (1) information we receive from you on account forms, applications and other documents involved with securities transactions and related investment services, and (2) information about transactions placed through our firm and/or our clearing firms by you or your Harbour representative. At Harbour, staff access to this information is strictly on a need to know basis in order to carry out your wishes. This information may also be disclosed as required by law, and to securities regulatory agencies or government agencies. Harbour has procedures reasonably designed to protect your information from unauthorized use. Why does Harbour disclose nonpublic personal information to certain third parties? Harbour is a noncarrying broker dealer; therefore, in order to fulfill your investment instructions, this information is shared with our clearing firms, product vendors such as mutual funds and insurance companies and such other nonaffiliated third parties as may be necessary and permitted by law. Harbour does not share nonpublic personal information with affiliated and nonaffiliated third parties for marketing purposes. We appreciate your business and we hope you will cooperate with us in this matter. What happens to nonpublic personal information if a customer closes his or her account(s) with Harbour?We may share your information with a new broker dealer that you select to facilitate the transfer of your investments. We understand the importance of your relationship with your representative; Therefore, we may allow our representatives who leave our firm for another broker dealer to retain copies of your information so they can assist with the transfer of your investments and continue to service your account at their new broker dealer. Any continuing use of your information by the representative is subject to the new firm’s privacy policy. If you do not want your representative to transfer this information from our firm to his or her new firm in order to continue servicing your account, please contact us by telephone at 1-(888) 855-6960, or write to Harbour Investments, Inc., 575 D’onofrio Drive, Suite 300, Madison, WI 53719 to opt out of this information sharing. After your account is closed, we will continue to adhere to the privacy policy described herein and may properly dispose of your information after 6 years. A current version of Harbour’s privacy policy may be obtained by visiting the client resources section of our website                    

SIPC INFORMATION Harbour is a member of the Securities Investor Protection Corporation (“SIPC”). You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at, or calling 202-371-8300.                                          

FINRA BROKER CHECK An investor brochure describing FINRA’s Broker Check is available online by visiting or calling the FINRA Broker Check hotline number, 800-289-9999.