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Compliance Documentation

Privacy Policy 

Our Promise to You

As a client of Marquette Wealth Management, you share both personal and financial information with us. Your privacy is of paramount importance to us, and we are vigilant in safeguarding it.

Our Privacy Policy restricts the use of client information and requires that it be held in strict confidence. Federal law requires us to tell you how we collect, share, and protect your personal information.

Please read this notice carefully to understand what we do.

Information Provided by Clients

In the normal course of doing business, we typically obtain the following non-public information about our clients:

  • Personal information regarding our clients’ identity, such as name, address, and social security number;
  • Information regarding securities transactions effected by us; and
  • Client financial information such as net worth, assets, income, bank accounts, and account balances.

We collect such non-public information when you open accounts with us and during the course of our relationship with you. Such information may be contained on tax forms, account statements, deposit slips and checks, questionnaires, and other information you provide to us.

Email Communications

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include electronic and procedural safeguards as well as secured paper files and office space.

We will not send non-public personal information by unencrypted electronic mail. We may send non-public personal information to you or your approved representatives by encrypted electronic mail.


How We Manage and Protect Your Personal and Financial Information

We will not disclose your personal or financial information to third parties unless:

  • Requested to do so by a client or authorized client representative;
  • Required/permitted by law to meet regulatory requirements, audit requirements, and court orders; or
  • Required to process transactions, and maintain and service your account(s). Where this is necessary, our contractual arrangements with third party service providers require them to treat your information as confidential.

We do not sell information about current or former clients to third parties.

How we use cookies on our website (www.marquettewm.com)

A cookie is a small piece of text sent to your browser by a website you visit. It helps the website to remember information about your visit, like your preferred language and other settings, which can make your next visit easier and the site more useful to you. Cookies play an important role. Without them, using the web would be a much more frustrating experience.

We use a WordPress plugin called Font Resizer that enables visitors to enlarge the default size of the text on our website. The plugin acts over jQuery and saves the settings in a cookie, so visitors see the same font size each time they revisit our site.

If we add further functionality that requires the use of cookies, we will inform you.

Opt-out Preference for Nonessential Activities

We may provide your name and address to third party service providers to facilitate such non-essential activities as sending gifts and other acknowledgements.  These providers are required to treat your information as confidential; however, if you do not wish for us to provide your information to such providers, you may “opt out.” Your information will be promptly removed from those databases. If you and your spouse are joint account holders, we will honor your separate requests to opt out. To do so, please contact us as described below to discuss how we can best honor such a request.

How to Opt-out

 If you do not wish to allow Marquette Wealth Management to provide your name and address to third parties that provide non-essential services to us, please reach out to your Relationship Manager, call us at 612-661-3770, or email us at info@www.marquettewm.com.


March 2024

Client Notification
We are required be law to provide a notice describing our privacy policy annually. In addition, we will inform you promptly if there are changes to our policy. Please do not hesitate to contact us at 612-661-3770 or info@marquettewm.com with questions about this notice.

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