Investor Disclosures and Information
Regulation Best Interest (REG BI)
To review information on the Firm, please use the following links
SEC Rule 606 Order Routing Schwab
SEC Rule 606 Order Routing TD Ameritrade
Brokerage Fee Sheet
Conflicts Products/Compensation
Helpful Links:
Investor Information
- Annuities Disclosure
- Asset Protection
- Callable Securities
- Certificate of Deposit Disclosure Statement
- Electronic Communications Policy
- Electronic Signature and Delivery Agreement
- Exchange Traded Products Risk Disclosure
- Extended Hours Trading
- Helpful Tips for Identity Theft Protection
- Important Information Regarding Purchasing Securities on Margin
- Important IRA Rollover Considerations
- Investment Advisory Program Disclosures
- Investment Objectives
- Mutual Funds Disclosure
- Product Charges and Expenses
- Qualified Plan Rollover Considerations
- Risk Tolerance
- User Disclosure