Disclosures

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WNY Asset Management offers Advisory Services through WNY Asset Management, LLC, a SEC Registered Investment Advisory Firm. Broker Dealer services offered through Cadaret, Grant & Co. Inc. Member FINRA/SIPC. WNY Asset Management LLC CPA Financial Network & Cadaret, Grant are separate entities.

List of states where securities are offered: AZ CA CO CT DC DE FL GA IL KS MA MD MI MO NC NJ NY NV OH PA SC TN TX VA VT WA

Privacy Notice

WNY Asset Management, LLC (referred to as “WNY”) maintains physical, electronic and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”).  Through this policy and its underlying procedures, WNY attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.

It is the policy of WNY to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in order to provide products or services to the client.  WNY may disclose the client’s information if WNY is : (1) previously authorized to disclose the information to individuals and/or entities not affiliated with WNY, including, but not limited to the client’s other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.  The disclosure of information contained in any document completed by the client for processing and/or transmittal by WNY in order to facilitate the commencement/continuation/termination of a business relationship between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for WNY (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.

WNY permits only authorized employees and affiliates who have signed a copy of WNY’s Privacy Policy to have access to client information.  Employees violating WNY’s Privacy Policy will be subject to WNY’s disciplinary process.  Additionally, whenever WNY hires other organizations to provide services to WNY’s clients, WNY will require them to sign confidentiality agreements and/or the Privacy Policy.

Should you have any questions regarding the above, please contact John Pieroni, Chief Compliance Officer.

Important Disclosure Information

WNY Asset Management, LLC (“WNY”) is an SEC registered investment adviser located in Williamsville, New York. WNY and its representatives, believe that they are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which WNY maintains clients. WNY may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. WNY’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 WNY’s web site on the Internet should not be construed by any consumer and/or prospective client as WNY’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 WNY 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. For information pertaining to the registration status of WNY, please contact the SEC or the state securities regulators for those states in which WNY maintains a notice filing. A copy of WNY’s current written disclosure statement discussing WNY’s business operations, services, and fees is available from WNY upon written request. WNY 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 WNY’s web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Please remember that 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 WNY), will be profitable or equal any historical performance level(s).

Certain portions of WNY’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, WNY’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from WNY, or from any other investment professional. WNY is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.

Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if WNY is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of WNY by any of its clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser.

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to WNY’s web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as receipt of, or a substitute for, personalized individual advice from WNY, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to WNY’s web site, to release and hold harmless WNY, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from WNY.