Excell Solutions, Inc. Privacy Policy

Excell Solutions, Inc. (“Excell Solutions”) has the privilege of assisting its Members in protecting the confidentiality of Excell Solutions Members and their clients’ personal and financial information (“Confidential Information”) through the Excell Solutions software defined perimeter (“the Dome”). Excell Solutions Members collect and maintain Confidential Information from their clients and other sources which is shared with other Excell Solutions Members to provide services to their clients. This Confidential Information may include:
  • Information the Excell Solutions Member receives from its client on the client agreement form and account applications. This information may include the client’s name, address, phone number, email address, Social Security number and date of birth, as well as details about the client’s interests, investments and investment experience;
  • Information about the client’s transactions with the Excell Solutions Member or others, including a client’s financial representative;
  • Information a Excell Solutions Member receives from third party service providers, clearing firms and custodians with respect to client accounts;
  • Medical information submitted as part of an insurance application such as a traditional life or variable life policy;
  • Information received from service bureaus or other third parties.

Excell Solutions takes its responsibility to protect the Confidential Information of its Members and their clients very seriously, and therefore is pleased to provide our policy on handling Confidential Information.


Excell Solutions Member Risk Management 

Excell Solutions requires each Excell Solutions Member who shares Confidential Information with another Excell Solutions Member to (i) complete the Excell Solutions Due Diligence Program and comply with the Excell Solutions Minimum Cybersecurity Standards; (ii) use secure devices to access the Dome; and (ii) use the secure network to access, share send and receive Confidential Information within the Dome.

In addition, each Excell Solutions Member must comply with Excell Solutions Policies and Procedures regarding the authorization for other Excell Solutions Members to access, share, send and receive their Confidential Information.


Limitations and Controls Regarding Accessing, Sharing, Sending and Receiving Confidential Information of Excell Solutions Members and Their Clients 

  • Excell Solutions does not store or maintain Confidential Information. The Dome is used by Excell Solutions Members to access, share, send and receive their Confidential Inforamtion.
  • Excell Solutions Members must authorize access, sharing, sending and receiving their Confidential Information through the Dome with other Excell Solutions Members through a controlled provisioning process, and Confidential Information is only accessed, shared, sent and received between Excell Solutions Members as authorized by each Excell Solutions Member.
  • Excell Solutions Members may use the Dome to access, share, send and receive Confidential Information only through secure devices.
  • Excell Solutions Members agree to confidentiality terms and are contractually obligated not to use or share Confidential Information for any other purpose.

Excell Solutions Provides These Additional Limitations and Controls 

  • Completes background checks on all employees and provides training regarding protecting Confidential Information
  • Maintains physical, electronic and procedural safeguards to protect Confidential Information of Excell Solutions Members and their clients
  • Conducts testing of its systems, procedures and controls
  • Will under no circumstances sell any Confidential Information of Excell Solutions Members and their clients to any person or entity

Excell Solutions reserves the right to change its Privacy Policy at any time and maintains a current version of its Privacy Policy on its website at Excell Solutions.com.