Disclosures
I have always valued transparency of information in my practice and consider this aspect to be one of the key cornerstones in building long-term relationships. I believe this high level of transparency best serves the interests of my clients and prospective clients by helping them make educated, informed decisions. To that end, and for your convenience, I have attached links to all of these required disclosures. (Please keep in mind that not all disclosures pertain to all client relationships and will depend on the particular services that you choose to engage me for. As always, please do not hesitate to contact me should you have any questions pertaining to any of these disclosures.)
Form CRS Disclosures
CRS is an acronym which stands for Client (or Customer) Relationship Summary. Broker/Dealers and Registered Investment Advisors are required to provide this disclosure material to retail investors. The information included in this disclosure includes such things as the types of services offered, fees, costs, conflicts of interest, roles and duties.
Cambridge Investment Research, Inc. serves as my Broker/Dealer. Cambridge Investment Research Advisors, Inc serves as my Registered Investment Adviser. Because of these dual roles, Cambridge provides two CRS forms, along with a supplement. To access these disclosures, please click on the below link.
Access Form CRS Disclosures By Clicking Here
Form ADV Part 2A (for Cambridge Investment Research, Inc., my Registered Investment Adviser)
This disclosure is the uniform form used by Registered Investment Advisers to register with both the Securities Exchange Commission (SEC) and state securities authorities. This disclosure is required to be provided to new and prospective clients and contains important information about Cambridge Investment Research, Inc., my Registered Investment Adviser, including such things as their fee structure, total assets under management and business practices. To access this disclosure form, please click on the below link.
Access Form ADV Part 2A By Clicking Here
Form ADV Part 2B (for Brendan J. O’Keefe)
This disclosure supplements the Form ADV Part 2A and is often aptly referred to as the Brochure Supplement. This form provides information pertaining to my personal background, including my education and business experience, my professional designations, and other business activities that I engage in. To access this disclosure form, please click on the below link.
Access Form ADV Part 2B By Clicking Here
Privacy Policy
This disclosure provides information on how a company (and in this case, my Broker/Dealer, Cambridge Investment Research, Inc. and their affiliates) collects, shares and protects the personal information of their clients. To access this policy statement, please click on the below link.
Access Privacy Policy By Clicking Here
Regulation Best Interest (or Reg. BI) Disclosure
This disclosure provides information regarding business practices, compensation, and conflicts of interest pertaining to my Broker/Dealer, Cambridge Investment Research, Inc. To access this disclosure, please click on the below link.