Nicholas Wealth Management, LLC
Privacy Notice
Nicholas Wealth Management, LLC (“NWM,” “we,” “our,” or “us”) is committed to maintaining the confidentiality, integrity, and security of our current and former clients’ nonpublic personal information. Investment advisers are required by law to provide clients with notice of their privacy policies and practices. We are also bound by professional standards of confidentiality.
This Privacy Notice describes the categories of personal information we collect, how we share that information, how we protect it, and your rights under applicable law.
What Does NWM Do With Your Personal Information? Reasons we can share your personal information | Does NWM share? | Can you limit this sharing? |
For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to regulators | Yes | No |
For our marketing purposes – to offer our products and services to you | Yes | No |
For joint marketing with other financial companies | No | Not Applicable |
For our affiliates’ everyday business purposes – information about your transactions and experiences | No | Not Applicable |
For our affiliates’ everyday business purposes – information about your creditworthiness | No | Not Applicable |
For our affiliates to market to you | No | Not Applicable |
For non-affiliates to market to you | No | Not Applicable |
What We Collect
We collect nonpublic personal information about you in connection with providing advisory and
financial planning services, including:
• Identifying information (e.g., name, address, date of birth, Social Security number)
• Financial information (e.g., assets, income, account balances, transaction history)
• Investment objectives, risk tolerance, and financial goals
• Information from account forms, agreements, and client communications
• Information from custodians, broker-dealers, and other financial institutions
• Electronic communications retained for compliance and record keeping purposes
How We Collect Information
We collect information:
• Directly from you (applications, meetings, communications)
• From transactions and your relationship with us
• From custodians, broker-dealers, and service providers
• From third-party vendors supporting our operations
How We Share Information
We do not sell your personal information.
We may share your information as permitted by law for business purposes, including:
• Servicing your account and processing transactions
• Maintaining records and complying with regulatory obligations
• Protecting against fraud or unauthorized transactions
• Working with service providers that support our operations (e.g., CRM systems, cloud storage providers, communications archiving vendors)
We may also share your information:
With your consent or at your direction
• With your authorized representatives (e.g., attorneys, trustees, trusted contacts)
• As required by law or regulatory authorities
How to Limit Sharing
Federal law gives you the right to limit certain types of sharing. However, because NWM does not
share your information in ways that trigger opt-out rights (such as sharing with non-affiliates for
marketing), there are currently no sharing practices for which you may opt out.
If our practices change, we will provide you with the opportunity to opt out as required by law.
How We Protect Your Information
We maintain physical, electronic, and procedural safeguards reasonably designed to protect your
information, including:
• Restricted access to client information based on job responsibilities
• Use of firm-issued, password-protected devices
• Secure cloud-based storage systems
• Retention of communications for compliance supervision
• Administrative, technical, and physical safeguards
We also utilize third-party service providers (including CRM platforms, cloud storage providers, and communications archiving systems) that support our operations and maintain their own security controls.
While no system is completely secure, we periodically review our safeguards as part of our compliance program.
How Long We Keep Information
We retain client information as required to provide services, comply with legal and regulatory
obligations, and maintain required books and records. This includes retaining information relating
to former clients.
Former Clients
If you close your account or become an inactive client, we will continue to protect your information
in accordance with this Privacy Notice.
Definitions
• Affiliates: Companies related by common ownership or control
• Non-affiliates: Companies not related by common ownership or control
• Joint Marketing: A formal agreement between non-affiliated financial companies to market
products or services
Changes to This Privacy Notice
We may update this Privacy Notice from time to time. When required, we will provide you with an
updated notice.
Contact Information
If you have questions about this Privacy Notice, please contact:
Nicholas Wealth Management, LLC
218 Roswell St NE, Suite 200
Marietta, GA 30060
[email protected] (PH) 404-890-5606