Additional advisory services offered through, a registered investment advisor not affiliates with Securities and investment advisory services offered through, Member FINRA/SIPC and a registered Investment advisor. Securities offered through, Member Finra/SIPC The absence of fees listed in the fee column does not mean you did not pay a sales charge for purchases. The figures represented should not be relied upon for tax purposes.įees and sales charges paid are not reflected on this report. The information provided should be used only as a general guide to portfolio value. This report has been prepared from data believed to be reliable, but no representation is being made as to its accuracy or completeness. This report has been prepared by for information purposes only and does not replace the statements you should receive directly from or Investment Sponsors. If you are using the Performance Reports, you may need to add additional language and explain calculation methods, depending on your Broker Dealer's requirements. They are shown only as examples.Ĭheck with your Compliance Officer for their footnote wording requirements. makes no representation that any of the footnote examples below meet any requirements of regulators. However, you should notice that most have several elements in common.Ĭlient Marketing Systems, Inc. There is a broad spectrum of information shown in footnotes. Some examples are from RIA's and others are from Registered Representatives who may also be RIA's. Broker Dealers have different requirements. Investment Advisors and Registered Representatives may have different disclosure requirements. Some users have different footnotes for performance reports and others use the same footnotes for both non-performance and performance reports. They came from users of Advisors Assistant. Your footnotes may need to meet requirements of your Compliance Officer.
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