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Form CRS
The SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...
However, if you’re unclear in what capacity you’re acting then you “should assume that both Regulation Best Interest and the Investment Advisers Act would apply
Investment advisers are already struggling at laying out their firms’ relationship summaries, the SEC says. IAs were required to publish their Form CRS beginning June ...
The Committee’s initial reviews have identified examples that may lack certain disclosures or could be clearer or otherwise improved
NOTE FOR INTERNATIONAL CLIENTS: This information is required by law and is not a promotion of Morgan Stanley's products and services. Further, not all products ...
"This may create incentives to act against your best interest to generate trading profits or minimize losses"
All of STAS’s investment advisory programs require brokerage accounts to be opened with STIS and for additional information, including account minimums, visit (www.suntrust.com/stasamc)
Our representatives receive a cash bonus based on how much their overall revenue (the total commissions and fees they charged to their clients) has increased ...
In a brokerage account (Account), you pay commissions and other sales fees on a per transaction basis. We may recommend investments for your Account, but ...
For standalone financial planning, we do not monitor your account unless we agree in writing to do so
The information in this Form CRS is subject to the more complete terms and conditions of our brokerage or investment advisory agreements and disclosures (including ...
Your Investment Professional has an incentive to recommend transfers or rollovers of existing accounts into your Davenport advisory account to increase the amount of assets ...
The opportunity presents to see how they answered the delicate question of how their financial professionals make money
"Our firm offers both discretionary advisory services (where our firm makes the decision regarding the purchase or sale of investments) as well as non-discretionary services ...
"The “wrap fee” paid by the client to the sponsor, which includes the fee for advisory services provided by CRMC is generally based on a ...
"Most often, we provide our services to you through an intermediary, such as a private wealth adviser or a wrap fee program sponsor with whom ...
"For free and simple tools to research our firm and representatives, please visit Investor.gov/CRS."
"When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the ...
"You also pay other fees and costs, directly or indirectly, related to our advisory services. These fees vary greatly based on your choice of account, ...
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