Privacy Policy

Effective Date: March 12, 2026

Regents Federal Employee Retirement Strategies is a marketing brand associated with Regents Wealth Management, LLC, a Registered Investment Adviser.

This Privacy Policy explains how Regents Wealth Management, LLC (“Regents Wealth,” “we,” “us,” or “our”) collects, uses, safeguards, and shares personal information obtained through the Regents Federal Employee Retirement Strategies website, related communications, and advisory relationships.

Information We Collect

We may collect personal information that you voluntarily provide when you use our website, submit a contact form, request information, schedule an appointment, or otherwise communicate with us. This information may include:

  • Name, email address, mailing address, and telephone number

  • Information you provide regarding your retirement goals, financial circumstances, employment, federal benefits, or other planning questions

  • Information provided in communications with us by email, telephone, online forms, or other means

  • Information needed to provide advisory services, if you become a client

  • Website-use information, such as IP address, browser type, device information, pages visited, and interactions with the website

Please do not submit sensitive personal information—such as Social Security numbers, account numbers, passwords, or other confidential financial information—through a general website contact form or unencrypted email.

How We Use Information

We may use personal information to:

  • Respond to inquiries and requests for information

  • Schedule meetings or consultations

  • Communicate about our services, educational materials, and relevant planning topics

  • Evaluate whether our services may be appropriate for your circumstances

  • Provide and maintain advisory services for clients

  • Meet legal, regulatory, recordkeeping, and compliance obligations

  • Maintain, improve, and protect our website and business operations

Providing information through this website does not create an advisory relationship. An advisory relationship is established only through a written agreement with Regents Wealth Management, LLC.

How Information Is Shared

Regents Wealth Management, LLC does not sell personal information.

We may share personal information when necessary to operate our business, provide services, comply with legal obligations, or protect our rights. This may include sharing information with:

  • Service providers that assist with website hosting, email, scheduling, technology, recordkeeping, compliance, or other business operations

  • Custodians, broker-dealers, financial institutions, or other third parties when needed to provide services authorized by a client

  • Professional advisers, such as attorneys, accountants, auditors, and compliance consultants

  • Government agencies, regulators, law-enforcement authorities, or other parties when required by law, regulation, subpoena, court order, or other legal process

  • Successors or parties involved in a business transaction, such as a merger, acquisition, or sale of assets, as permitted by law

We require service providers to use information only as needed to provide services on our behalf and in accordance with applicable contractual or legal obligations.

Cookies and Website Data

Our website may use cookies, analytics tools, server logs, or similar technologies to understand how visitors use the site, improve functionality, and maintain security.

These technologies may collect information such as browser type, device type, IP address, referring pages, pages viewed, and the date and time of visits. You may be able to control cookies through your browser settings; however, disabling cookies may affect certain website features.

Email and Electronic Communications

If you contact us or provide your email address, we may communicate with you electronically in response to your request or, where permitted, to provide information about our services or educational resources.

You may opt out of non-essential marketing emails by using the unsubscribe link in the message or by contacting us directly. We may still send communications necessary to respond to an inquiry, provide requested services, meet legal obligations, or administer an existing client relationship.

Email and internet communications may not be secure. Please do not send sensitive personal or financial information through unsecured email or a general website form.

Safeguarding Information

We maintain administrative, technical, and physical safeguards designed to protect personal information from unauthorized access, use, disclosure, alteration, or destruction. These safeguards are appropriate to the nature of the information we collect and the services we provide.

No method of electronic transmission or storage is completely secure. Although we take reasonable steps to protect information, we cannot guarantee absolute security.

Your Choices

You may contact us to:

  • Request access to or correction of personal information we maintain about you

  • Ask questions about how your information is used

  • Opt out of non-essential marketing communications

  • Request that we stop contacting you, subject to applicable legal and regulatory recordkeeping requirements

We may need to verify your identity before responding to certain requests. Some information may need to be retained to comply with legal, regulatory, tax, accounting, or recordkeeping obligations.

Third-Party Links

This website may include links to third-party websites, including the Investment Adviser Public Disclosure website or scheduling platforms. Regents Wealth Management, LLC is not responsible for the privacy practices, content, or security of third-party websites. We encourage you to review the privacy policy of every third-party site you visit.

Children’s Privacy

This website and our services are not directed to children under the age of 13, and we do not knowingly collect personal information from children under 13. If we learn that personal information has been collected from a child under 13 without appropriate consent, we will take reasonable steps to delete it.

Changes to This Policy

We may update this Privacy Policy from time to time to reflect changes in our practices, services, technology, or legal obligations. Any updates will be posted on this page with a revised effective date.

Contact Information

If you have questions regarding this Privacy Policy, please contact:

Regents Wealth Management, LLC

Email: rick@regentswealthmanagement.com

Phone: 740-833-9703