Privacy Notice

Lee Financial Group LLC (“LFG”) 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. LFG 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.

We want our clients to understand what information we collect, how we use it, and how we protect your personal information.

Why We Collect Your Information

We gather information about you so that we can:

  • Help design and implement the investment and financial planning related services we provide you; and
  • Comply with the Federal and State laws and regulations that govern us.

What Information We Collect and Maintain

We may collect the following types of “nonpublic personal information” (“NPI”) 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; and
  • Information that we may receive from third parties in connection with the services we provide you.

What Information We Disclose

We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain circumstances. LFG may disclose client’s NPI: (1) to individuals and/or entities not affiliated with LFG, including, but not limited to third-parties that assist in the supervision or management of your account(s) (i.e., broker-dealer, sub-advisers, account custodian, record keeper, etc.); (2) service providers contracted by us in order for us to perform the duties in furtherance of the client’s engagement with LFG (i.e. client management systems, archiving technology vendors, cloud service providers, etc.); (3) to your authorized representative or power of attorney; (4) when we receive your prior consent; and (5) as otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.

In the event that LFG has a change to its client privacy policy that would allow it to disclose non-public information not covered under applicable law, LFG will allow its clients the opportunity to opt-out of such disclosure.

Opt-Out Options and Mobile Information

You have the right to opt out of receiving marketing communications from us at any time by: 

  • SMS: Replying “STOP” to any SMS message you receive from us. Email: Clicking the “unsubscribe” link in any email you receive from us. 
  • Account Settings: Updating your preferences in your account settings on our website.

More on mobile information usage, collection, and privacy

  • Our SMS program provides updates, notifications, and promotional messages related to our services. By subscribing to our SMS program, you consent to receive SMS messages at the phone number provided. Message frequency may vary based on your interaction with our service.
  • We do not share your mobile information with third parties or affiliates for marketing or promotional purposes. Additionally, all the categories of personal data mentioned above exclude text messaging originator opt-in data and consent. This information will not be shared with any third parties under any circumstances. However, we may share your data with trusted service providers who assist us in operating our SMS program, provided they agree to keep your data confidential and use it solely for the purpose of providing services on our behalf.
  • You have the right to access, correct, verify, or remove your personal information at any time. To manage your information, please contact us at 949-214-4873.
  • Opt-Out Option: If you wish to opt-out of receiving SMS messages, you may do so at any time by replying “STOP” to any of our messages or by contacting us directly at 949-214-4873.  Opting out will not affect your other interactions with our services.

How We Protect Your Personal Information

Privacy has always been important to LFG. We restrict and limit access to client information only to those who need to carry out their business functions. We safeguard client information by preventing its unauthorized access, disclosure, or use. We maintain physical, electronic, and procedural safeguards to protect your confidential personal information. Arrangements with companies or independent contractors not affiliated with LFG will be subject to confidentiality agreements.

Former Clients

Even if we cease to provide you with financial services, our Privacy Policy will continue to apply to you, and we will continue to treat your nonpublic information with strict confidentiality. We maintain all records regarding all former clients for the retention period required by law.

Contact Us

Clients are encouraged to discuss any questions regarding privacy policies and procedures directly with Austin Lee, Chief Compliance Officer of LFG. Please contact Austin Lee at (949) 214-4873