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Corporate Privacy Policy

Privacy Policy

Roffman Miller Associates (RMA) due to the nature of our business collects certain nonpublic personal information about our clients.  We are required by the SEC under Regulation S-P to provide you with the following notice.

Part I
RMA collects nonpublic personal information about you from the following sources:

  • Information we receive from you on applications and other forms;
  • Information we receive from your Broker-Dealer; and
  • Information about your transactions with others or us.

Part II
RMA does not disclose any nonpublic personal information about you to anyone, except as permitted by law.

Part III
RMA restricts access to your personal and account information to those employees who need to know that information to provide products or services to you.  RMA maintains physical, electronic and procedural safeguards to guard your nonpublic personal information.

Part IV
If you decide to close your account(s) or become an inactive customer, RMA will continue to adhere to the privacy policies and practices as described in this notice.


Roffman Miller Associates, Inc. (RMA) is an SEC-registered investment advisor located in Philadelphia, Pennsylvania. In addition to registering with the SEC, RMA notice files with the states of Pennsylvania, Delaware, Maryland, California, New Jersey, New York, Texas, Florida, North Carolina, Virginia and Connecticut. This website provides general information about Roffman Miller Associates, Inc. and is not intended to offer investment or financial planning advice.  The purpose of this site is to provide you with information about the firm and our investment philosophy, and to provide a means for you to contact us for further information.  Please click here for additional Disclaimer and Regulatory Information.
Email your questions to info@roffmanmiller.com