Criterion Wealth Management (“CWM”) is a registered investment adviser located in Valencia, California. CWM and its representatives are in compliance with the current filing requirements imposed upon registered investment advisers by those states in which CWM maintains clients. CWM may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements.
A copy of CWM's current written disclosure statement discussing CWM's business operations, services, and fees is available from CWM upon written request.
CWM's web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links.
Accordingly, the publication of CWM's web site on the Internet should not be construed by any consumer and/or prospective client as CWM's solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.
Any subsequent, direct communication by CWM with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.
CWM does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to CWM's web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by CWM), will be profitable or equal any historical performance level(s). No client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from CWM, or from any other investment professional. CWM is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.
Criterion Wealth Management requires that you provide current and accurate financial and personal information. Criterion Wealth Management will protect the information you have provided in a manner that is safe, secure, and professional. Criterion Wealth Management and its employees are committed to protecting your privacy and to safeguarding that information.
Safeguarding Customer Documents
We collect non-public customer data in checklists, forms, in written notations, and in documentation provided to us by our customers for investment and consulting services.
During regular business hours access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked.
No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe Criterion Wealth Management procedures regarding customer and consumer privacy will result in discipline and may lead to termination.
Sharing Nonpublic Personal and Financial Information
Criterion Wealth Management is committed to the protection and privacy of its customers’ and consumers’ personal and financial information. Criterion Wealth Management will not share such information with any affiliated or non-affiliated third party except:
- When necessary to complete a transaction in a customer account, such as with the clearing firm or account custodians;
- When required to maintain or service a customer account;
- To resolve customer disputes or inquiries;
- With persons acting in a fiduciary or representative capacity on behalf of the customer;
- With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
- In connection with a sale or merger of Criterion Wealth Management’s business;
- To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
- To comply with federal, state or local laws, rules and other applicable legal requirements;
- In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
- In any circumstances with the customer’s instruction or consent; or
- Pursuant to any other exceptions enumerated in the California Information Privacy Act.
It is not a policy of Criterion Wealth Management to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for clients to opt out.