Privacy Policy

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Privacy Policy


Navian Capital (the “Company”) is committed to protecting personal and financial information. In the course of providing financial services, the Company collects and maintains certain non-public personal information about you and others. This Privacy Policy Notice answers some questions about what non-public personal information the Company collects, what the Company does with it, and how the Company protects it.

Because we value you as a user of the Navian Capital web portal we take privacy seriously, we have established the following privacy and confidentiality policy:

• We do not sell customer information.

• We do not provide customer information to persons or organizations outside Navian Capital who are doing business on our behalf for their own marketing purposes.

• We require any person or organization providing products or services to customers on our behalf to protect the confidentiality of Navian Capital customer information.

• Within the Company we emphasize the importance of protecting your personal information and that customer information is to be handled in strict confidence.

What kind of personal information do we have and how do we obtain it?

We collect and use information we believe is necessary to administer our business, to advise you about our products and services, and to provide you with customer service. We may collect and maintain several types of customer information needed for these purposes. The following are examples of the types of information we may collect and how this information is obtained:

• From you (on applications for our investment products or on other forms, through telephone or in-person interviews, or through your dealings with your Navian Capital Representative), such as your address, telephone number, and employment information.

What types of non-public personal information about me does the Company disclose?

The Company discloses the non-public personal information about you described above, to provide you with the financial products or services you seek from or through us.

To what employees of the Company is my non-public personal information disclosed?

The Company discloses non-public personal information about you only to its employees who need to know that information in connection with the servicing or processing of financial products or services requested by you or as required by law.

To what other firms is my non-public personal information disclosed?

The Company discloses non-public personal information about you to non-affiliated third parties who the Company utilizes in connection with the servicing or processing of financial products or services requested by you. For example, the Company may provide information to its legal counsel. Any such recipients acting on the Company’s behalf are required to keep your personal information confidential. The Company also discloses non-public personal information to nonaffiliated third parties as permitted or required by law. These parties include government/regulatory organizations such as the Internal Revenue Service and FINRA. Disclosures for which you have provided your consent are also permitted.

The Company does not disclose non-public personal information about former customers, except as required by law.

The Company may disclose information, as permitted by law, with our affiliated companies. By sharing information about you with our affiliated companies, the Company can offer you a broader range of financial services, improve your experience with us and serve you more efficiently.

The Company does not sell your non-public personal information.

How does the Company protect the confidentiality and security of my non-public personal information?

The Company maintains physical, electronic, and procedural safeguards to guard your non-public personal information. Access to your non-public personal information is limited to those employees who need to know that information to provide products or services to you. The Company conducts internal audits of its business practices and procedures in order to protect your personal information.

If you have questions regarding the Company’s Privacy Policy, please submit them to:

Navian Capital
c/o Chief Compliance Officer
425 Walnut Street
Suite 1100

© 2015 Navian Capital. All rights reserved. Navian Capital, 425 Walnut Street, Suite 1100, Cincinnati, OH 45202.  Securities and investments offered through Navian Capital Securities LLC, Member FINRA/SIPC. Annuities and insurance products offered through Navian Insurance Agency LLC, Member FINRA/SIPC.