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Privacy Policy

This privacy policy applies to clients of Embarcadero Capital Advisors, Inc. (“we,” “us,” “our firm”). Your relationship with us is based on trust and confidence, which is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information.

Information We Collect

To provide our services, we obtain non-public personal information about you, including but not limited to:

  • Address;
  • Date of birth;
  • Social security number;
  • Financial account number(s);
  • Occupation;
  • Financial goals;
  • Assets;
  • Income; and
  • Securities transactions
Information We Disclose

We may only disclose information that we collect in accordance with this policy.

Parties to Whom We Disclose

We are committed to protecting your privacy. We will not share the information we collect with any third-parties, except under the following circumstances:

  • To entities that perform services for us or function on our behalf, including financial service providers, such as a broker-dealer, investment company, insurance company, or other investment advisers;
  • To comply with broker-dealer firms that have regulatory requirements to supervise certain representatives’ activities;
  • To third parties who perform services or marketing, client resource management or other parties to help manage your account on our behalf;
  • To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
  • To our attorneys, accountants or auditors; and
  • To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.

You may be able to opt-out of certain information sharing by calling us at 949-371-9796.

Our Security Policy

We maintain physical, technical, and administrative security measures to safeguard your confidential information.

Former Clients

Our privacy policy applies to both current and former clients.

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Privacy Policy
CRD#: 329285 / SEC#: 801-129306

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© 2024 Embarcadero Capital Advisors. All rights reserved.
Advisory services offered through Embarcadero Capital Advisors, Inc., a California-state registered investment adviser. Securities offered through the Leaders Group, Inc., a member FINRA/SIPC. Embarcadero Capital Advisors, Inc. and The Leaders Group, Inc. are separate and unaffiliated entities.

Past performance does not guarantee future returns. Investing involves risk and possible loss of principal capital.