Privacy Policy

PRIVACY NOTICE REGARDING CLIENT PRIVACY

Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of OCM Private Wealth, LLC dba Arena Private Wealth (hereinafter “OCMPW” or “Arena”).

Information We Collect

In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:

Information we receive from you on account applications or questionnaires, such as your address, date of birth, Social Security Number, occupation, financial goals, assets, and income;
Information about your transactions with us, our affiliates, or others; and
Information received from credit or service bureaus or other third parties, such as your credit history or employment status.

Categories of Information We Disclose

We may disclose all information that we collect. OCMPW and its affiliates do not sell customer lists and will not sell your name to telemarketers.

Categories of Parties to Whom We Disclose

We will not disclose information regarding you or your account with us, except under the following circumstances:

To your authorized Investment Advisor Representative and his or her manager; OCMPW may permit Investment Advisor Representatives that terminate their affiliation with OCMPW to make copies of their client files.
To establish or maintain an account with a third party, such as a clearing broker/dealer, investment company, or insurance company providing services to you and/or our firm;
To third parties who perform services on our behalf;
To your attorney, accountant, trustee, or anyone else who represents you in a fiduciary capacity;
To our attorneys, accountants, or auditors; and
To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.

How We Use Information

Information may be used among the companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for purposes including:

Protecting your accounts from unauthorized access or identity theft;
Processing your requests such as securities purchases and sales;
Establishing or maintaining an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or OCMPW;
Servicing your accounts, such as issuing checks and account statements;
Complying with Federal, State, and Self-Regulatory Organization requirements; and
Keeping you informed about financial services of interest to you.

Our Security Policy

We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.

Closed or Inactive Accounts

If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you.

Document Retention

We follow internal retention schedules for various types of information and may dispose of certain documents after the retention period expires. All confidential information disposed of under this policy will be redacted, pulverized, or shredded so that personal information cannot be read or reconstructed.

Complaint Notification

Please direct complaints to:

OCM Private Wealth, LLC dba Arena Private Wealth
401 N. Michigan Avenue, Suite 610
Chicago, Illinois 60611
(312) 798-9045

Changes to This Privacy Policy

If we make any substantial changes in the way we use or disseminate confidential information, we will notify you. If you have any questions concerning this Privacy Policy, please contact: