Most of you are very good about getting in to review your accounts and visit with us on an annual basis. This is so important that in 2003 our regulators (The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA)) made it a law mandating that we review your goals, financial status, and risk tolerance, at least once every three years. This is known as the 17a3 rule.
Below is the information we must update, request, and also furnish you at least every three years. Because we strive for excellence, we attempt to update our records and review accounts with you more frequently. If you have been in the last 12 months, you can disregard this request as we have it already.
However, if you have not been in recently, then it is important for you to call or write us to provide us this information ASAP. When you call, we would like to schedule an appointment for you to meet with one of our advisors or at the very least schedule a phone appointment, so that we can update our records and perhaps give you some guidance over the phone.