Privacy Statement

American Portfolios Financial Services, Inc.
4250 Veterans Memorial Hwy. | Suite 420E
Holbrook, NY  11741
PHONE:  631.439.4600
FAX:       631.439.4698


American Portfolios Financial Services, Inc. (APFS) and American Portfolios Advisors, Inc. (APA) consider privacy to be a fundamental part of their relationship with you. We have developed practices and procedures to protect the confidentiality and security of your non-public personal information. Our practices and procedures apply to current and former customers, and adhere to regulatory agencies and that of our parent company, Osaic Wealth, Inc.





What does American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. (“American Portfolios”) do with your personal information?

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. Please read this notice carefully to understand what we do.

The types of personal information we collect and share depends on the product or service you have with us. This information can include:

Social security number or other tax identification number, date of birth, and income

  • Account balances and transaction history
  • Credit history and risk tolerance
  • Investment experience
  • Assets and retirement assets

When you are no longer our customer, we will continue to hold your information and share it as described in this notice.

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 American Portfolio chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information:

For our everyday business purposes—such as to 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

For our affiliates’ everyday business purposes—information about your transactions and experiences

For our affiliates’ everyday business purposes—information about your creditworthiness

For affiliates and non-affiliates to market to you

Does American Portfolios share?







Can you limit this sharing?







Limiting Our Sharing

You may limit the sharing of your personal information (“Opt Out”) by completing the form below.

Note: If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice.  When you are no longer our customer, we continue to share your information as described in this notice.  However, you can contact us at any time to limit our sharing.  Reference the Questions? section at the end of this notice to contact us in writing.

Opt-Out Form

Send to:

American Portfolios
4250 Veteran’s Memorial Hwy
Suite 420E
Holbrook, NY  11741

Who We Are

Who is providing this notice?

American Portfolios and its affiliates.  Our affiliates covered under this privacy notice include the following entities:

·      Osaic Wealth, Inc.

·      Osaic Services, Inc.

·      Osaic RIA, Inc.

·      Osaic Institutions, Inc.

·      Osaic Advisory Services, Inc.

·      Securities America Advisors, Inc.

·      Securities America, Inc.

·      Triad Advisors, LLC

·      Triad Insurance, Inc.

·      Arbor Point Advisors, LLC

·      Ladenburg Thalmann & Co, Inc.

·      Vision2020 Wealth Management Corp.

What We Do

How does American Portfolios protect my personal information?

How does American Portfolios collect my
personal information?

Why can’t I limit my sharing?

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.

Employees are trained on the proper handling of customer personal information.

We collect your personal information, for example, when you:

  • Open an account or apply for insurance;
  • Seek advise about your investments;
  • Provide account information; or
  • Invest with us to make withdrawals from your account.

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

Federal law give 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; and
  • Sharing for non-affiliates to market to you.

State laws and individual companies may give you additional rights to limit sharing.  See Other Important Information for more on your rights under state law.




Joint Marketing

Companies related by common ownership or control. They can be financial and non-financial companies.

  • American Portfolios affiliates are all companies that are directly or indirectly owned by Osaic Holdings,

Affiliates that American Portfolios shares with may include Osaic wealth management entity affiliates and/or financial professionals currently registered with such Osaic affiliates that may purchase your American Portfolios representative’s securities business and market financial products and services to you.

Companies not related by common ownership or control. They can be financial and non-financial companies.

Non-affiliates American Portfolios shares with may include other financial services firms that your current representative may transfer his/her securities registration should they leave American Portfolios or unaffiliated representatives that may purchase your representative’s securities business. Your representative’s ability to service your account will be restricted if you opt out or do not opt in to sharing your personal information.

A formal agreement between non-affiliated financial companies that together market financial products or services to you. This may include banks, credit unions or other financial institutions with which we have a joint marketing agreement.

Other Important Information

In order to comply with applicable laws and legal requirements, we may disclose information to government entities, self-regulatory organizations or other third parties in response to court orders, subpoenas, government inquiries or other mandatory legal processes.

If you live in Alaska, California, Massachusetts, Maine, North Dakota or Vermont, under certain circumstances, we are required as a financial institution to obtain your affirmative consent to share your personal information with a non-affiliate. If you live in any state other than those listed, under certain circumstances, you may opt out of American Portfolios sharing your personal information with a non-affiliate. If you opt out, you will continue to receive annual privacy notices as required by the SEC. However, you do not need to respond to maintain a previous opt-out designation. Please refer to the Limiting Our Sharing section for ways to opt out.


Contact us in writing:

ATTN: Privacy Office
10 Exchange Place, Suite 1410
Jersey City, NJ  07302

American Portfolios Financial Services, Inc.

American Portfolios Advisors, Inc.
An SEC Registered Investment Advisor

Rev. 03/24