Register Financial Disclosures
Customer Relationship Summary
Register Financial Associates, Inc. (“RF Associates”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is also a member of FINRA, MSRB and SIPC. Brokerage and investment advisory services and fees differ, and it is important for the retail investor to understand the differences. Information about Register Financial Advisors, LLC, an affiliated Investment Adviser, is available in a separate Relationship Summary, which can be found on our website. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, a website maintained by the SEC. These tools can provide you with educational materials about broker-dealers, investment advisers, and investing.
Customer Relationship Summary – v2
Register Financial Advisors, LLC (“RF Advisors”) is registered with the Securities and Exchange Commission as an investment adviser. Information about Register Financial Associates, Inc., an affiliated broker-dealer, is available in a separate Relationship Summary which can be found on our website. Brokerage and investment advisory services and fees differ and it is important for the retail investor to understand the differences. Free and simple tools are available for you to use at Investor.gov/CRS, a website maintained by the SEC. These tools can provide you with educational materials about broker-dealers, investment advisers, and investing.
Regulation Best Interest Disclosure
This guide summarizes important information concerning the scope and terms of the brokerage services we offer and details the material conflicts of interest that arise through our delivery of brokerage services to you. We encourage you to review this information carefully, along with any applicable account agreement(s) and disclosure documentation you may receive from us.
George Register