Define Financial provides investment advisory services as an Investment Advisor Representative (“IAR”) through Advanced Practice Advisors, LLC (APA). Protecting your privacy is important to us at Define Financial. We take precautions to ensure that your information is kept private and confidential. To assist us in providing you the quality services and products that you request or to help meet your needs, we gather, maintain, and use both public and nonpublic personal information about you. We are providing you with the following policies and practices with respect to sharing of customer information.

FactsWhat does Define Financial/APA do with your personal information?
Why?Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information.
What?We collect nonpublic personal information about you from the following sources:

  • Information we receive from you on applications and other forms (e.g. social security and income information)
  • Information about your transactions with us, our affiliates, or others (e.g. account balances)

“Nonpublic personal information” means personally identifiable (PI) financial and other related information that is not available from public sources. If your customer relationship with us terminates, or if you become an inactive customer, our privacy policy will continue to apply to you.

How?All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Define Financial/APA chooses to share; and whether you can limit this sharing.
Reasons we can share your personal informationDo we share?Can you limit this sharing?
For our everyday business purposes:
Such as process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus.
For our marketing purposes:
To offer our products and services to you.
For joint marketing with other financial companies.NoNo
For our affiliates’ everyday business purposes:
Information about your transactions and experiences.
For our affiliates’ everyday business purposes:
Information about your creditworthiness.
For affiliates to market to you.YesYes
For non-affiliates to market to you.YesYes
Questions or need more information?Go to or call 619.577.4002
Who We Are
Who is providing this notice?Define Financial, LLC, Advanced Practice Advisors, LLC
What We Do
How do Define Financial and APA protect my personal information?To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.We train our employees in the proper handling of personal information and oversee the same. We require companies that help provide our services to you to protect the confidentiality of personal information they receive.
How do Define Financial and APA collect my personal information?We collect your personal information, for example, when you:

  • Open an account
  • Seek advice about your investments
  • Enter into an investment advisory agreement
  • Tell us about your investment or retirement portfolio

We also collect your personal information from others such as credit bureaus, affiliates, or other companies.

Why can’t I limit all sharing?Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes – information about your creditworthiness.
  • Affiliates from using your information to market to you.
  • Sharing for non-affiliates to market to you.

State laws and individual companies may give you additional rights to limit sharing. [See below for more on your rights under state law.]

AffiliatesCompanies related by common ownership or control. They can be financial and non-financial companies.
Neither Define Financial nor Advanced Practice Advisors, LLC share any related common ownership or control.
Non-AffiliatesCompanies not related by common ownership or control. They can be financial and non-financial companies. Define Financial is independent and not owned but interacts with Advanced Practice Advisors, LLC in order to conduct investment advisory business for your accounts.
Joint MarketingA formal agreement between non-affiliated financial companies that together market financial products or services to you.
Other Important Information
Information for California Customers: You have the right to control whether we share some of your personal information. You have the following rights to restrict the sharing of personal and financial information with our affiliates and outside companies that we do business with. Unless you say “no”, we may share personal and financial information about you with our affiliated companies and with outside companies we may contract with to provide financial products and services to you.