Knowledge Base

Advertising – Endorser (Affiliated) – Disclosure Statement


Icon

Advertising - Endorser (Affiliated) - Disclosure Statement

1 file(s) 0.00 KB

Search Knowledge Base by Keyword

Created On
byRCC
< Back
This Advertising - Endorser (Affiliated) - Disclosure Statement is a sample investment adviser form which is intended for an affiliated endorser or solicitor of an investment adviser for documenting the required disclosures under SEC Rule 206(4)-1. This endorser disclosure statement explains that that the endorser is employed by an affiliate of the investment adviser firm, describes the affiliated endorser's conflict of interest and notes the limitations of the endorser's activities. Available to Platinum & Titanium clients. Available to purchase a la carte in our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-endorser-disclosure-statement/

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.