In the coming weeks my broker-dealer will be sending you a letter containing a new disclosure document called a Customer Relationship Summary (Form CRS), as well a Supplemental Disclosure document.
These documents are for your information only. You do not need to take any action when you receive them. They are being sent to you as part of a new regulation implemented by the Securities and Exchange Commission (SEC) known as Regulation Best Interest, which went into effect on July 1, 2020. Regulation Best Interest requires all broker-dealer firms like mine to let their clients know who we are, the services we provide, how we are paid, and if there are any conflicts of interest in connection with the services we provide to you.
Rest assured our relationship remains as it always has been, and nothing has changed because of this new disclosure. Please feel free to call to discuss any questions you may have. As always, thank you for the trust you have placed in me as we work together to pursue your financial goals.
Information About an Upcoming Letter from My Broker-Dealer
July 09, 2020