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Buckingham Financial Group Firm Brochure

Buckingham Capital Management Firm Brochure

Buckingham Capital Management and Buckingham Financial Group Form CRS

Commentary Disclosures

Views and opinions expressed are for informational and educational purposes only and may change at any time based on market or other conditions or may not come to pass. This material is not a solicitation to buy or sell securities and should not be considered specific legal, investment, or tax advice. The information provided does not consider the objectives, financial situation, or needs of any specific individual. All investments carry a degree of risk and there is no certainty that an investment will provide positive performance over any stated period. Equity investments are subject to company specific and market risks. Equities may decline in response to adverse company news, industry developments, or economic data. Fixed income securities are subject to market, credit, and interest rate risks. As interest rates rise, bond prices may fall. Past performance is no guarantee of future results.

When we are quoted in mainstream media, the views and opinions quoted are for informational and educational purposes only. These views and opinions may change at any time based on market or other conditions or may not come to pass. We are not representing that our view and opinions on any specific security was or would have been profitable to any person.  Requests for our opinions were obtained through Impact Communications, a public relations firm.

Privacy Policy

We are committed to protecting your privacy. We provide this policy as required by law to explain our information gathering and privacy practices. This policy applies to all companies within the Buckingham group of companies as listed below:

  • Buckingham Capital Management, Inc.
  • Buckingham Agency, Inc.
  • Buckingham & Company
  • Buckingham Financial Group, Inc.
  • Buckingham Business Advisors, LLC

The Buckingham companies are required to maintain compliance with privacy rules. The Buckingham Companies that are Registered Investment Advisers (Buckingham Capital Management and Buckingham Financial Group) are also subject to the rules of privacy imposed under the United States Securities and Exchange Commission’s (“SEC”) Regulation S‐P or “Privacy Rule”.

The Buckingham companies maintain compliance with privacy rules our staff takes the issue of privacy seriously. The Buckingham companies realize that providing personal information is an act of trust and we take the issue of protecting privacy very seriously.

Types of Information Collected

The types of information collected during the normal course of business may vary based on the type of business conducted by may include (but is not limited to):

  • Information provided from applications, forms and other information provided to use either verbally or in writing, and include but are not limited to information needed to correctly identify you and provide the services you request;
  • Address, phone number, account information, social security number, employment, assets, income and debt, and beneficiary data;
  • Information about your transactions, accounts, trading activity and parties to transactions;
  • Tax information; beneficiary information; medical data (relating to insurance) and information from other outside sources;
  • Any other information that is deemed to be nonpublic personal information or sensitive information as defined by the Gramm‐Leach‐Bliley Act or Regulation S‐P.

We Do Not Sell Information

The companies will never sell the nonpublic personal information we obtain from consumers or clients with any unaffiliated firms.

When Information Is Or Must Be Provided

All information provided by clients to The Buckingham Companies and information and advice furnished by the Adviser to clients, shall be treated as confidential and shall not be disclosed to any other person or firm, except as permitted or directed by clients by application to facilitate the services offered by the firms via an unaffiliated financial services provider, or as required by any rule or regulation of any regulatory body of which the Buckingham companies may be subject or as may otherwise be required by law.

For example, a court of law may subpoena records and we are required to comply. As another example, from time to time the SEC audits the records of SEC regulated firms for compliance purposes and as a result, the SEC examiners are likely to review nonpublic personal client data.

If You Request That Information Be Released

If you should specifically direct the Buckingham companies to release nonpublic personal information to other services providers such as your legal counsel, personal tax advisers, etc., we request that your approval to release information be provided in writing.

Controlled Environment

The Buckingham companies maintain client records in a controlled environment and records are only available to authorized staff persons who have a need to access client information in order to deliver requested professional services, provide administrative support, or to respond to client requests.

Affiliated Companies

The Buckingham companies share certain information among the affiliated entities. Most often this is utilized to coordinate service efforts (such as tax preparation services for investment advisory clients). Information might also be shared for coordinated marketing efforts or for other purposes.

How To Opt Out

You can direct the Buckingham companies not to share certain information within the affiliated companies. This is called “opting out” of information sharing. You request can be directed to the Adviser in writing or by calling (937) 435‐2742. Your request will be promptly processed and your nonpublic information secured.

How Former Clients’ Information is Handled and Destroyed

Former clients are afforded the same measures of privacy protection as current clients. Records are maintained for those periods required by law or regulation and are thereafter safely destroyed via shredding.

Consumer Data and Destruction Policy

If consumers provide nonpublic personal information but do not become clients of the Adviser, original documents will be promptly returned and any copies made for the Adviser will be maintained for up to one year, depending upon the likelihood of engagement, before being destroyed via in‐house shredding.

Clients are encouraged to discuss any questions regarding our privacy policies and procedures directly with their representative or they can contact Jay A. Buckingham, CFP®, Chief Compliance Officer.

Terms Of Use

1. Terms
By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trade mark law.

2. Use License
Permission is granted to temporarily download one copy of the materials (information or software) on Buckingham Advisors web site for personal, non-commercial transitory viewing only. This is the grant of a license, not a transfer of title, and under this license you may not:

  • modify or copy the materials;
  • use the materials for any commercial purpose, or for any public display (commercial or non-commercial);
  • attempt to decompile or reverse engineer any software contained on Buckingham Advisors web site;
  • remove any copyright or other proprietary notations from the materials; or
  • transfer the materials to another person or “mirror” the materials on any other server.

This license shall automatically terminate if you violate any of these restrictions and may be terminated by Buckingham Advisors at any time. Upon terminating your viewing of these materials or upon the termination of this license, you must destroy any downloaded materials in your possession whether in electronic or printed format.

3. Disclaimer
The materials on Buckingham Advisors web site are provided “as is”. Buckingham Advisors makes no warranties, expressed or implied, and hereby disclaims and negates all other warranties, including without limitation, implied warranties or conditions of merchantability, fitness for a particular purpose, or non-infringement of intellectual property or other violation of rights. Further, Buckingham Advisors does not warrant or make any representations concerning the accuracy, likely results, or reliability of the use of the materials on its Internet web site or otherwise relating to such materials or on any sites linked to this site.

4. Limitations
In no event shall Buckingham Advisors or its suppliers be liable for any damages (including, without limitation, damages for loss of data or profit, or due to business interruption,) arising out of the use or inability to use the materials on Buckingham Advisors Internet site, even if Buckingham Advisors or a Buckingham Advisors authorized representative has been notified orally or in writing of the possibility of such damage. Because some jurisdictions do not allow limitations on implied warranties, or limitations of liability for consequential or incidental damages, these limitations may not apply to you.

5. Revisions and Errata
The materials appearing on Buckingham Advisors web site could include technical, typographical, or photographic errors. Buckingham Advisors does not warrant that any of the materials on its web site are accurate, complete, or current. Buckingham Advisors may make changes to the materials contained on its web site at any time without notice. Buckingham Advisors does not, however, make any commitment to update the materials.

6. Links
Buckingham Advisors has not reviewed all of the sites linked to its Internet web site and is not responsible for the contents of any such linked site. The inclusion of any link does not imply endorsement by Buckingham Advisors of the site. Use of any such linked web site is at the user’s own risk.

7. Site Terms of Use Modifications
Buckingham Advisors may revise these terms of use for its web site at any time without notice. By using this website you are agreeing to be bound by the then current version of these Terms and Conditions of Use.

8. Governing Law
Any claim relating to Buckingham Advisors web site shall be governed by the laws of the State of Ohio without regard to its conflict of law provisions.

General Terms and Conditions applicable to Use of a Web Site.

Copyright Disclosure

Copyright© 2020 Buckingham Advisors. All rights reserved. The information and graphics on this Website may not be reproduced in any material form or transmitted to any persons without permission from Buckingham Advisors under the Copyright Act of 1994.

Please contact Buckingham Advisors if you would like to use any of the information or graphics.

Individuals wishing to make Buckingham Advisors content accessible through their Websites are encouraged to create hypertext links to the required content on this Website.

Information and opinions on this site provided by third parties have been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed. It is given for informational purposes only and is not a solicitation to buy or sell the securities mentioned. The information is not intended to be used as the primary basis for investment decisions, nor should it be considered as advice of professionals, as appropriate, regarding the evaluation of any specific information, opinion, advice or other content.