Dougherty & Company LLC Innovative Financial Solutions Nationwide
CCPA California Consumer Privacy Act (”CCPA”)Privacy Notice
Addendum for California Residents
California
Resident’s
Right
The California Consumer Privacy Act (“CCPA”) provides rights for California residents to receive information from Dougherty & Company LLC (hereinafter referred to as Dougherty) information we collect and use about you. This CCPA Privacy Notice addendum also provides information to California residents about what information you can obtain from Dougherty. For the full Dougherty Privacy Pledge, please go to: http://www.doughertymarkets.com/disclosures/privacy-pledge
Right to know
what is
collected?
The types of personal information we collect and share depend on the product or service you have with us. This information may include but not limited to:
  • Social Security number and personal contact information, such as address, phone number, etc.
  • Financial Information, such as risk tolerance, finance goals or Assets and Income
  • Personal data (e.g., age, marital status or employment status)
  • Professional Data (e.g., occupations, employers or work history)
  • Account balances and transaction history
Right to Request Information Regarding Personal Information Collected and Disclosed At your request, Dougherty will provide a report regarding the information collected, used disclosed and/or Sold* to others in the prior 12 months about you. This will include:
  • Personal information we have collected about you;
  • Personal information we have about you;
  • Sources from which personal information is collected;
  • Reason for collecting or sharing personal information;
  • Identification of third-parties with whom Dougherty shares your personal information
*Dougherty does not sell personal information it collects from clients or prospects.
Right to Request Deletion of Personal information You may request that Dougherty delete personal information it has collected and/or maintains about you. In order for us to delete such information, you need to follow the instructions provided below for submitting a Request to delete your personal information. Upon receipt of a request, (as long as we have no obligation or right to keep your personal information despite your right to request deletion), Dougherty will have you confirm your previously submitted request to delete your information, as required by law. Once confirmed, we will start the process of deleting your personal information and we will also instruct all of our service providers or Affiliates that maintain your personal information on our behalf to also delete your personal information from their records.
How to Submit Request for Information Collected, Disclosed or for Deletion To request that we delete such information, you need to send an email to: CaliforniaPrivacyInquiry@doughertymarkets.com or write us at:
Dougherty & Company LLC
Attention: California Privacy Inquiry
90 South 7th Street, Suite 4300
Minneapolis, MN 55402.

When requesting personal information collected, disclosed or to delete, you must include ALL of the following information:
  1. First and Last Name
  2. Mailing address (street, city, state and zip code)
  3. Email address
  4. Phone number
  5. Customer or Account Number
Upon receipt of your request, Dougherty must verify the request. Dougherty will acknowledge our receipt of your request within 10 days, and we have forty-five days to respond to you or request that you confirm your request to delete information we hold. If reasonably necessary to respond to your request, Doughty may extend the deadline for our response to you by an additional 30 days, and if we chose to do so, we will notify you.
California Resident’s Rights
Right to know Dougherty’s Sale of Your Personal Information Dougherty does not sell personal information it collects from clients or prospects.
Right to Opt-Out of Sale of Personal information While Dougherty does not sell client’s personal information to others, you have the right to direct businesses that does sell your personal information to stop selling your personal information and to refrain from doing so in the future.
Right to Non-Discrimination Dougherty shall not discriminate against you by altering the price of any of its products or services because you chose to exercise any of your rights under the CCPA.