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Protecting One-Up Financial clients’ privacy is an essential part of our business. We maintain confidentiality and security of all clients' nonpublic personal information. 


One-Up Financial, from time to time in the ordinary course of business, may collect the following types of information:

  • Information you provide in the subscription documents and other forms (including name, address, social security number, date of birth, income and other financial-related information) listed on this site; and

  • Data about your transactions with us (such as the types of investments you have made and your account status).


One-Up Financial will not share any nonpublic information we receive with respect to our clients who are natural persons with any nonaffiliated third parties which are not service providers to us without prior notice to, and authorization from, such clients, unless otherwise required by law. We may, in the ordinary course of business disclose the kinds of nonpublic personal information such as items listed above to certain nonaffiliated third party service providers who deal in servicing and administering products and services on our behalf. Our service providers include, but are not limited to, our legal advisor and our accounting, tax and audit advisory team.

One-Up Financial may, as required by law (Such as responding to a subpoena or to satisfy a specific request from a regulator, or to prevent fraud) disclose such nonpublic personal information. Additionally and without limiting the foregoing, One-Up Financial may disclose nonpublic personal information about you to governmental entities and others in connection with meeting our obligations to prevent money laundering including, without limitation, the disclosure that may be required by the Uniting and Strengthening America Act by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001 and the regulations promulgated thereunder.


Should One-Up Financial decide to dispose of our current or former clients' nonpublic personal information for which we harbor no legal requirement to maintain, we will carry out said disposal in a confidential and reasonable manner that ensures the protection of such information from unauthorized access. 


Access to One-Up Financial's nonpublic personal client information is restricted and limited to only employees and agents of One-Up Financial who need that information in order to provide fiduciary services to our clients. One-Up Financial is required to maintain and update safeguards for protecting clients' nonpublic information. Your security and trust is our number one priority. 

Should you have any questions regarding this privacy notice, please contact the Chief Compliance Officer, Eric Presogna at (814) 325-2699.

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