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The information

Last Updated: March 21, 2017

Overview

M1 Finance LLC considers your privacy our utmost concern. In order to provide you with individualized service, we collect certain nonpublic personal information about you from information you provide on applications or other forms (such as name, address, social security number, age, financial status, assets, income, tax information, retirement and estate plan information, transaction history, account balance, payment history, investment objectives, marital status, family relationships, and other personal information). We may also collect such information through your inquiries by mail, e-mail or telephone.

We do not sell any nonpublic personal information about you to anyone. We also do not share such information except when needed to process transactions at your request or to make you aware of related financial products and services that we offer. Here are more of the details:

  • In order to complete certain transactions or make account changes that you direct, it may be necessary to provide identifying information to companies, individuals or groups that are affiliated with M1. For example, if you request the transfer of assets from another financial institution to M1 Finance LLC, we will need to provide certain information about you to that company to complete the transaction.
  • In order to service your account and effect your transactions, we may provide your personal information, as described above, to unaffiliated companies that perform administrative and other services on our behalf, such as transfer agents. We will provide these third parties with only the information necessary to carry out their assigned responsibilities. These outside companies will use this information only for the services for which we hired them, and are not permitted to use or share this information for any other purpose, except as permitted by law.
  • Finally, we will release information about you only if you direct us to do so, if we are compelled by law to do so, or in other legally limited circumstances (for example, to protect your account from fraud).

M1 Finance may periodically collect information from you through automated means. When you browse our site, use the iOS and Android applications, use our services, or read our emails or newsletters, we may use "cookies" or other online tracking mechanisms (including pixel tags, web beacons, clear GIFs and device fingerprints) in order to provide better service, facilitate your use of the site or services, store online preferences, track usage of the site or services, tailor the marketing of business services, or enhance security.

Some of our cookies are used for web analytics and intelligence about our site. We may also use web beacons or other technologies for similar purposes and we may include these in marketing email messages or our newsletters in order to determine whether messages have been opened and links clicked on. Web beacons do not place information on your device, but may work in conjunction with cookies to monitor online activity.

By using our site or applications you agree that we can place cookies on your device and use other online tracking mechanisms as explained in this privacy notice. You may be able to control your acceptance of cookies and similar technologies on a website, and most devices and browsers offer their own privacy settings for cookies. You will need to manage your cookie settings for each device and browser you use. If you do not accept cookies, you may experience some inconvenience in your use of some sites and online products. For example, a website may not be able to recognize your device and you may need to answer challenge questions or provide additional information each time you log on.

If you decide at some point either to close your account(s) or to become an inactive customer, we will continue to adhere to the privacy policies and practices described in this notice.

With regard to our internal security procedures, we restrict access to your personal and account information to those employees who need to know the information in order to provide products and services to you. We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information.

As required by federal law, we will notify you of our privacy policy annually. We reserve the right to modify this policy at any time, and if we do change it, you will be informed promptly.

Client uses Plaid Inc. (“Plaid”) to gather End User’s data from financial institutions. By using our service, you grant Client and Plaid the right, power, and authority to act on your behalf to access and transmit your personal and financial information from the relevant financial institution. You agree to your personal and financial information being transferred, stored, and processed by Plaid in accordance with the Plaid Privacy Policy

For questions about our policy, or for additional copies of this notice, please call us at 888.714.6674.


Check the background of M1 Finance LLC on FINRA's BrokerCheck

Member of SIPC. Securities in your account protected up to $500,000. SIPC insurance does not protect against loss in the market value of securities. For additional information www.sipc.org. Securities and services are provided to clients of M1 by M1 Finance LLC, member FINRA/SIPC. Investments are not FDIC insured and may lose value. Investing in securities involves risk and there is always the potential of losing money when you invest in securities. Please consider your objectives and M1 fees before investing. Past performance is not a guarantee of future results. Using margin involves risks: you can lose more than you deposit, you are subject to a margin call, and interest rates may change. Not an offer, solicitation of an offer, or advice to buy or sell securities in jurisdiction where M1 Finance LLC is not registered.

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