What does Carnegie Capital Asset Management, LLC (DBA Carnegie Investment Counsel (“Carnegie”) 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 depend on the product or service you have with us. This information may include, but is not limited to, the following:

• Social security number
• Health/Medical Information
• Risk tolerance
• Wire transfer instructions
• Income

• Contact Information
• Transaction history
• Investment Experience
• Assets
• Account Balances

Financial industry 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 Carnegie chooses to share; and whether you can limit this sharing.​

Reasons we can share your personal information	Does Carnegie Share?	Can you limit this sharing?
For our everyday business purposes - such as to process your requests and transactions, maintain your accounts(s) or respond to court orders and legal investigations.	Yes	No
For our marketing purposes - to offer our products and services to you	Yes	No
For joint marketing with other financial companies ​	Yes	No
For our affiliates' everyday business purposes - information about your transactions and experiences	No (no affiliates)	N/A
For our affiliates' everyday business purposes – information about your creditworthiness	No (no affiliates)	N/A
For our affiliates to market to you	No (no affiliates)	N/A
For non-affiliates to market to you	No	We don’t share

​Pandemic Response

​All medical information confidential (42 U.S.C. § 12112(d)(3)(B) and 12112(d)(4)), including information related to symptoms of COVID-19 or a diagnosis of COVID-19. This includes all test results, temperature screening logs, questionnaires, and other medical information being obtained. Temperature screening machines and other protective measures may be used at our business locations to protect clients and employees from transmitting illnesses. Only employees with a need to know will have access to client’s medical information. Employees will be trained on the collection and protection of client information.

​Questions?

Call Carnegie at 800-321-2322 or email us at [email protected].

Who We Are

Carnegie Investment Counsel
Carnegie is an SEC Registered Investment Adviser whose principal office is in Pepper Pike, OH, with eight other offices located in California, Florida, New York, Ohio, and Pennsylvania.

Carnegie offers ongoing portfolio management services based on individual goals, objectives, time horizon, and risk tolerance of each client. Carnegie also provides investment supervisory services that include investment strategy, asset allocation, personal investment policy, risk tolerance evaluation, asset selection, and regular portfolio monitoring.

Additionally, Carnegie provides financial and investment planning. This involves planning regarding investment, retirement, cash flow projections, estate planning, insurance, education, employee benefits, family business continuation and general business consulting. Carnegie also provides financial planning advice specific for divorce situations.

​Carnegie also works with Retirement Plans to provide investment guidance or investment management for employer sponsored retirement plans. Carnegie is a fiduciary under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) with respect to investment management services and investment advice provided to ERISA plan Clients, including ERISA plan participants.

​What We Do

​How does Carnegie protect my personal information? 
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.  ​

How does Carnegie collect my personal information? 
We collect your personal information, for example, when you

• Enter into an investment advisory contract
• Seek financial or insurance solutions
• Make deposits or withdrawals from your account
• Tell us about your investment or retirement portfolio
• Give us your employment history

​Why can't I limit all sharing?
Federal law gives 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
• Sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. 

​​Definitions 

Affiliates
Companies related by common ownership or control. They can be financial and nonfinancial companies.

• Carnegie does not have any affiliates.

Nonaffiliates 
Companies not related by common ownership or control. They can be financial and nonfinancial companies.

• Carnegie does not share with nonaffiliates.

Joint Marketing  
A formal agreement between nonaffiliated financial companies that together market financial products or services to you. 

• Carnegie does not jointly market.