Privacy Policy

Stapp Wealth Management, PLLC Privacy Policies and Procedures

This policy is effective as of January 1, 2023.

In this disclosure, you’ll find detail about our privacy policy and procedures, as well as the opportunity to choose how information about you may be shared.

Stapp Wealth Management, PLLC is an investment adviser registered with the Securities and Exchange Commission (the “SEC”) under the Investment Advisers Act of 1940, as amended, (the “Advisers Act”). Stapp Financial Planning, PLLC has adopted the following policies and procedures in order to comply with the SEC’s Privacy of Consumer Financial Information rule (commonly known as “Regulation S-P”).

  • We do not sell customer information to third parties.
  • We do not share customer information with outside parties who may wish to market their products to you. You do not have to take action or instruct us to keep your information confidential. We will protect your privacy automatically.
  • Within Stapp Wealth Management, PLLC, we safeguard your customer information carefully.
  • We are committed to protecting your customer information.

For this purpose, we have designed procedures, standards and technology, which are described in our policy.

The Stapp Wealth Management, PLLC Privacy Policy describes how we protect and use your customer information. We believe that protecting your privacy is an integral part of the customer service we provide to you. This is the reason why we do not share customer information with outside parties who may wish to market their products to you.


1. We begin by safeguarding the security and integrity of client information.

We are committed to protecting the security and integrity of customer information through procedures and technology designed for this purpose. For example:

  • We limit employee access to customer information to those who have a business reason to know this information. Employees are required to honor our code of conduct, which includes standards to protect customer confidentiality. They are subject to disciplinary action if they fail to do so.
  • We maintain policies and procedures covering the proper physical security of workplaces and records.
  • Our physical, electronic, and procedural safeguards meet or exceed federal standards regarding the protection of customer information.
  • We require independent contractors and outside companies who work with us to adhere to strict privacy standards through their contracts with us.
  • We use technological means (such as backup files, virus detection and eradication software, firewalls and other computer software and hardware) to protect against unauthorized access or alterations to customer data.
  • We have implemented measures designed to secure your personal information from accidental loss and from unauthorized access, use, alteration, and disclosure. Unfortunately, the transmission of information via the internet is not completely secure. Although we do our best to protect your personal information, we cannot guarantee the security of your personal information transmitted to our Website. Any transmission of personal information is at your own risk. We are not responsible for circumvention of any privacy settings or security measures contained on the Website.

2. We collect and maintain customer information as part of servicing your account.

In the course of serving you, we collect information about you from a variety of sources, such as:

  • Information you provide to us on applications or forms, such as your income and social security numbers
  • Information we receive form an outside source, such as another financial institution, regarding an account transfer
  • Information about your transactions with companies affiliated with Stapp Wealth Management, PLLC

3. The customer information we collect is used to serve you and meet your financial needs.

Information may be used by Stapp Wealth Management, PLLC, as will as with authorized third parties (described in section 4), for a number of purposes, such as:

  • To protect your accounts from unauthorized access or identity theft
  • To process your requests such as account withdrawals and deposits
  • To services your accounts account statements
  • To keep you informed about financial services of interest to you

4. We do not share information with outside parties who may wish to market their products to you.

We may disclose the information we collect, as described above, with nonaffiliated third parties that are acting on our behalf, including:

  • To our subsidiaries and affiliates
  • There are other situations when we may disclose to third parties the customer information we collect as permitted or required by law. Third parties could include government entities, courts or other entities (in response to subpoenas and other legal processes), and those with whom you have requested us to share information.
  • The Website may contain links to third-party websites. This Privacy Policy does not apply to those websites and we encourage you, when you leave the Website, to read the privacy statements of those websites.

It is important to note that we do not share customer information with other companies for the purpose of market their products to you. It is not necessary for you to instruct us not to share information with these outside companies, because we will automatically keep your information confidential.

5. Within Stapp Wealth Management, PLLC, we share information so that we can work together to serve you.

We may disclose all of the information we collect, as described above, within Stapp Wealth Management, PLLC. Your information is confidential and we take every precaution to keep it safe, such as:

  • Stapp Wealth Management, PLLC requires that its employees be aware of and sensitive to their treatment of nonpublic personal information of its clients and potential clients.
  • Stapp Wealth Management, PLLC prohibits its employees from discussing such information unless necessary as part of their duties and responsibilities to Stapp Wealth Management, PLLC.
  • Stapp Wealth Management, PLLC requires that each employee take precautions to avoid storing nonpublic personal information in plain view in public areas of Stapp Wealth Management, PLLC facilities, and requires that each employee remove nonpublic personal information from conference rooms, reception areas and other areas where it may be seen by third parties.

6. How We Use Your Information

We use information that we collect about you or that you provide to us, including any personal information:

  • To provide you with information, marketing communications, products, or services that you request from us or that may be of interest to you, and to provide you with notices about the services with which you engage with us.
  • To notify you about changes to, and improve, our Website or any products or services we offer or provide though it.
  • To better understand how visitors are interacting with the Website and help us improve our Website, products and services.
  • In any other way we may describe when you provide the information.

Whenever we send out commercial or marketing emails, we include an option to stop receiving such messages. If you do not desire to receive such communications from us, please excise this option. In addition, you may contact us at any time to request that you be removed from our commercial and marketing email list (see contact information below). Even if you opt-out, however, we might send you messages for non-marketing or administrative purposes like notifying you of the status of your website, informing you of changes to the Website or providing you with customer service.

Some state laws may impose additional restrictions on disclosure of information about customers in those states for certain purposes.

The policies and practices described in this disclosure are subject to change, but we will communicate any significant changes to you as required by applicable law. The policies and practices described in this disclosure replace all previous notices or statements regarding this subject.

Any questions regarding Stapp Wealth Management, PLLC Privacy Policies and Procedures should be referred to Rebecca Stapp, Stapp Wealth Management, PLLC Compliance Officer