Client Center

Disclosure and Privacy Policy


Professional Financial Solutions, LLC is an SEC-registered investment advisor. We do not provide personal investment or planning advice through this website, which is intended to provide a summary of our firm, the services we offer, a way to contact us, and general personal financial information.

Nothing on this site should be considered to be (i) a solicitation to effect, or attempt to effect transactions in securities, (ii) the provision of any investment related advice or services tailored to any particular individual’s financial situation or investment objective(s), or (iii) an offer to render either services or any of the foregoing. Services cannot be rendered until a Form ADV Part 2/Disclosure Brochure is provided and an Investment Advisory Agreement is executed. The firm is notice filed in VA, MD, and NC. We can only provide services in those states within which we are in compliance with the registration or notice filing requirements or are otherwise exempt from registration. Any subsequent, direct communication by us with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to our registration status, please consult the Investment Adviser Public Disclosure available through the United States Securities and Exchange Commission or the state securities administrators for those states in which we maintain a notice filing.

Some of the information on this site includes links to third-party websites and/or is based on information gathered from sources that we believe to be reliable. We do not guarantee the accuracy of or assert that the information or third-party websites are complete and can be used to make financial decisions. As this is a public site, nothing on it should be viewed as specific or individualized advice. The reader maintains absolute discretion as to whether or not to follow any portion of the content available on this website, and it is the reader’s exclusive responsibility to review and evaluate the content to determine whether it is appropriate for them.

Privacy Policy

Our Commitment to You

Professional Financial Solutions, LLC (“PFS” or the “Advisor”) is committed to safeguarding the use of personal information of our Clients (also referred to as “you” and “your”) that we obtain as your Investment Advisor, as described here in our Privacy Policy (“Policy”).

Our relationship with you is our most important asset. We understand that you have entrusted us with your private information, and we do everything that we can to maintain that trust. PFS (also referred to as “we”, “our” and “us”) protects the security and confidentiality of the personal information we have and implements controls to ensure that such information is used for proper business purposes in connection with the management or servicing of our relationship with you.

PFS does not sell your non-public personal information to anyone. Nor do we provide such information to others except for discrete and reasonable business purposes in connection with the servicing and management of our relationship with you, as discussed below.

Details of our approach to privacy and how your personal non-public information is collected and used are set forth in this Policy.

Why you need to know?

Registered Investment Advisors (“RIAs”) must share some of your personal information in the course of servicing your account. Federal and State laws give you the right to limit some of this sharing and require RIAs to disclose how we collect, share, and protect your personal information.

What information do we collect from you?

Driver’s license numberDate of birth
Social security or taxpayer identification numberAssets and liabilities
Name, address and phone number[s]Income and expenses
E-mail address[es]Investment activity
Account information (including other institutions)Investment experience and goals

What Information do we collect from other sources?

Custody, brokerage and advisory agreementsAccount applications and forms
Other advisory agreements and legal documentsInvestment questionnaires and suitability documents
Transactional information with us or othersOther information needed to service account

How do we protect your information?

To safeguard your personal information from unauthorized access and use we maintain physical, procedural and electronic security measures. These include such safeguards as secure passwords, encrypted file storage and a secure office environment. Our technology vendors provide security and access control over personal information and have policies over the transmission of data. Our associates are trained on their responsibilities to protect Client’s personal information.

We require third parties that assist in providing our services to you to protect the personal information they receive from us.

How do we share your information?
An RIA shares Client personal information to effectively implement its services. In the section below, we list some reasons we may share your personal information.

Basis For SharingDo we share?Can you limit?
Servicing our Clients- We may share non-public personal information with non-affiliated third parties (such as administrators, brokers, custodians, regulators, credit agencies, other financial institutions) as necessary for us to provide agreed upon services to you, consistent with applicable law, including but not limited to: processing transactions; general account maintenance; responding to regulators or legal investigations; and credit reporting.YesNo
Marketing Purposes- PFS does not disclose, and does not intend to disclose, personal information with non-affiliated third parties to offer you services. Certain laws may give us the right to share your personal information with financial institutions where you are a customer and where PFS or the client has a formal agreement with the financial institution. We will only share information for purposes of servicing your accounts, not for marketing purposes.NoNot Shared
Authorized Users- Your non-public personal information may be disclosed to you and persons that we believe to be your authorized agent[s] or representative[s].YesYes
Information About Former Clients- PFS does not disclose and does not intend to disclose, non-public personal information to non-affiliated third parties with respect to persons who are no longer our Clients.NoNot Shared

State-specific Regulations

CaliforniaIn response to a California law, to be conservative, we assume accounts with California addresses do not want us to disclose personal information about you to non-affiliated third parties, except as permitted by California law. We also limit the sharing of personal information about you with our affiliates to ensure compliance with California privacy laws.
MassachusettsIn response to Massachusetts law, the Client must “opt-in” to share non-public personal information with non-affiliated third parties before any personal information is disclosed. Client opt-in is obtained through the Client’s execution of authorization forms provided by the third parties, by executing an Information Sharing Authorization Form, or by other written consent by the Client, as appropriate and consistent with applicable laws and regulations.
VermontIn response to a Vermont regulation, if we disclose personal information about you to non-affiliated third parties, we will only disclose your name, address, other contract information, and general information about our experience with you.

Changes to our Privacy Policy

We will send you a copy of this Policy annually for as long as you maintain an ongoing relationship with us.

Periodically we may revise this Policy and will provide you with a revised Policy if the changes materially alter the previous Privacy Policy. We will not, however, revise our Privacy Policy to permit the sharing of non-public personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing.

Any Questions?

You may ask questions or voice any concerns, as well as obtain a copy of our current Privacy Policy by contacting us at 703-385-0870 or via email at


Please contact us if you have any questions, because your privacy, our professional ethics, and the ability to provide you with quality financial services are very important to us.

Contact Us

If you have any questions about your financial future, we're here to help. Please use this form or feel free to call or e-mail us.

(703) 385-0870