Privacy Statement

Privacy Policy For Hooker & Holcombe, Inc. and Hooker & Holcombe Retirement Services, Inc.

Who we are

Hooker & Holcombe, Inc. is a firm of retirement plan professionals, providing employers with actuarial, administrative and consulting services. Hooker & Holcombe Retirement Services, Inc. is a wholly-owned subsidiary of Hooker & Holcombe, Inc., and specializes in investment management services for retirement plans. Throughout this Privacy Policy we refer to Hooker & Holcombe, Inc. and Hooker & Holcombe Retirement Services, Inc. collectively as "Hooker & Holcombe", or "we". This Privacy Policy applies to both entities.

In conducting our business, we, by necessity, collect and process information about retirement plan participants. We recognize the importance of maintaining the private nature of the nonpublic personal information we are provided, whether provided by individuals themselves or by the plan sponsor to enable us to properly service the plan. In order to effectively conduct our business, however, we must sometimes use and share the nonpublic personal information we collect. This disclosure sets forth our privacy policy and practices concerning the collection and disclosure of nonpublic personal information. Please read this notice to learn more about our policies and practices.

To Whom This Policy Applies

The policies and procedures described in this notice apply to individuals who inquire about and/or obtain products or services from Hooker & Holcombe for personal, family or household purposes. The term "you" will be used throughout to refer to such individuals. This policy does not apply to institutional or commercial entities.

Information we collect, and how we use it

We may collect nonpublic personal information about you (collectively referred to herein as "Collected Information") from the following sources:

  • information we receive from you or your authorized representative, whether in writing, in person, by phone, electronically, via the Internet or other means, including, for example, information you provide through our website's 'Contact Us' pages, on applications or other forms;
  • information we receive about you from your plan sponsor; and
  • information about your transactions with us, our affiliates or others.

We may use or disclose the information we collect to fulfill the purposes for which you provided it or we collected it, such as to: provide you with information, products or services that you request from us; to improve, market or promote our products and services; or to make product and service recommendations to you.

We also gather information about pages you visit on our website and the duration of your visit. We use this information solely within our organization to: compile, synthesize, generate and analyze anonymous usage and other aggregated information for the purpose of monitoring website performance and improving our website. In order, for example, to determine the level of interest in information available on our website and to help us design or improve our products and services, we may use standard software to collect information about visitors to our website and use such information to create summary statistics. This information is maintained only in aggregated form and cannot be used to identify you.

We may use also use or disclose the information we collect for any other purpose we describe when we collect your information or to which you consent.

Sharing of Nonpublic Personal Information

1. We do not sell your nonpublic personal information to anyone.

2.We may disclose nonpublic personal information about you as authorized by you or permitted or required by law, or to third-party service providers performing support services on our behalf that agree to keep your information secure. We may also exchange information with your plan sponsor to enable us to provide you with products or services that you request or otherwise service the plan in which you participate.

Protecting the Confidentiality and Security of Information

We restrict access to nonpublic personal information about you to those employees who need to know that information to provide products or services to you. We maintain appropriate technical and organizational measures, including physical, electronic and procedural safeguards to guard your nonpublic personal information.

We note, however, that our inbound email services are NOT necessarily encrypted and, accordingly, ask that you refrain from sending personal nonpublic information to us via email unless you do so through a secure channel.

Our website contains links to websites maintained and controlled by third parties. Please be aware that Hooker & Holcombe is not responsible for the privacy or security practices of third parties. We encourage you to be aware when you leave our website and to read the privacy and security statements of each and every website that you visit. This Privacy Statement applies solely to the practices of Hooker & Holcombe.

For those clients who are residents of Connecticut, our Connecticut Social Security Number Privacy Protection Policy is available here.

Correction procedures

Please contact your plan sponsor's Human Resources department to report any inaccurate or missing data on your account. Unless otherwise specified herein, we can accept only those corrections and additions that are submitted to us from the plan sponsor.

If you have any questions or concerns about our Privacy Policy, please call 860-521-8400 or send email to


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Your California privacy rights

If you are a California resident, you may request that we provide you with certain information about the entities with which we have shared our customers’ personal information for direct marketing purposes during the preceding calendar year. To do so, please contact us as directed.


Keeping up with our Privacy Policy

If we materially change this Privacy Policy, we will post a new version on our website. We encourage you to review these policies frequently for such changes. The Privacy Policy contained in this notice supersedes all previous notices or statements with respect to the subject matter described herein.

Hooker & Holcombe Investment Advisors, Inc. Privacy Policy

Like most industries today, the financial services industry is rapidly being shaped by technology, which is literally changing the way we do business. To be successful in this environment, we must continue to ensure that our customers are confident that we will manage their financial affairs expertly and confidentially.

Hooker & Holcombe Investment Advisors, Inc. (hereafter known as “HHIA”) respects the privacy and confidentiality of all client information. The SEC’s (Securities Exchange Commission) privacy rule, Regulation S-P, requires investment advisers to issue initial and annual privacy notices to all clients. Regulation S-P places an affirmative obligation on advisers to ensure the security and confidentiality of your non-public personal information, which is defined as personally identifiable financial information obtained in any of the following ways:

  • Information supplied by client
  • Information resulting from transactions
  • Information obtained in providing products or services

HHIA collects nonpublic personal information in the following ways:

  • Information we receive from you on applications for your plan such as Employer Identification Number, Tax Identification Number, or Social Security Number. For those clients who are residents of Connecticut, our Connecticut Social Security Number Privacy Protection Policy is available here.
  • Information about transactions on behalf of your retirement plan(s) with custodian banks, brokers, mutual fund companies and third party administrators which include account balances, confirmation of transactions and fees paid to certain service providers (if applicable).
  • Information about participant retirement plan payments such as name, social security number, address, date of birth, and payment amount (if applicable).
  • Information provided by other service providers for your plan which may include, employee salaries, date of birth, estimated retirement dates, and estimated future benefit payments (if applicable).

HHIA does not disclose non-public personal information to non-affiliated third parties except as permitted by you or required by law. HHIA may disclose non-public personal information to its affiliated companies, Hooker & Holcombe, Inc., and Hooker & Holcombe Retirement Services, Inc., and to other third party administrators involved with administration of the account (e.g. plan custodian or trustee) to the extent it is necessary to conduct business and provide services on behalf of your retirement plan(s).

We want to assure all of our clients that whenever information is used, it is done with discretion. Access to information about your plan is restricted to only those employees who need to know such information to provide our services. HHIA maintains physical, electronic and procedural safeguards to ensure the security of your non-public personal information which include, for example, locking client file storage, restricted access to LAN based client files, and document shredding policy.

In the course of bidding on new business, HHIA is sometimes asked to provide a sample listing of current clients. In such situations HHIA will typically provide only the name of the business entity or town sponsoring the plan along with the approximate account size. Upon request from a client, HHIA will not include their information in such listings.