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Customer Relationship Summary 1. Introduction Firs trade Securities Inc. (Firs trade or We) is registered with the Securities and Exchange Commission (SEC) as a broker dealer and is a member of the
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How to fill out customer relationship summary

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To fill out the customer relationship summary, follow these steps:
02
Begin by gathering all pertinent information about your customer.
03
Introduce your business and provide a brief overview of the services you offer.
04
Clearly state the fees and charges associated with your services.
05
Explain the types of relationships you have with your customers, such as advisory or brokerage.
06
Disclose any conflicts of interest that may arise from the proposed relationships.
07
Summarize any legal or disciplinary events that have occurred in your firm.
08
Provide information about your firm's policies and procedures for protecting customer privacy and security.
09
Describe the methods and frequency of client account monitoring.
10
Include contact information for any questions or concerns your customers may have.
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Lastly, review and edit the summary to ensure clarity and accuracy.

Who needs customer relationship summary?

01
The customer relationship summary is needed for anyone who is seeking to engage with a financial professional or firm.
02
This includes individuals looking to open investment accounts, receive financial advice, or avail of other financial services.
03
It is essential for investors to have a clear understanding of the firm's offerings, fees, conflicts of interest, and how their privacy and security will be protected.
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A customer relationship summary is a document that provides an overview of the services offered by a financial advisor or firm and outlines how the advisor is compensated, potential conflicts of interest, and the types of clients served.
Registered investment advisers and broker-dealers are required to file a customer relationship summary.
To fill out a customer relationship summary, firms must provide clear and concise information about their services, fees, conflicts of interest, and other material facts as specified by regulatory authorities. They should follow the prescribed format and guidelines provided by the SEC or FINRA.
The purpose of the customer relationship summary is to enhance transparency and help investors make informed decisions by clearly outlining the nature of the relationship between the investor and the financial service provider.
The customer relationship summary must report information including the firm’s services, fees and costs, conflicts of interest, disciplinary history, and the types of clients served.
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