Get the free Client Relationship Summary Disclosure Form. 00208430.DOCX

CLIENT RELATIONSHIP SUMMARY JUNE 30, 2020Is An Investment Advisory Account Right For You? Brook stone Capital Management, LLC (our firm) is an investment adviser registered with the U.S. Securities

How to fill out client relationship summary disclosure

How to fill out client relationship summary disclosure

1. To fill out the client relationship summary disclosure, follow these steps:
2. Start by including the name and contact information of your firm, including its website address.
3. Provide a summary of your firm's services and fees. This should include information about the types of services you offer and the corresponding fees or charges for each service.
4. Explain the standard of conduct your firm follows. This may include details about whether your firm is a fiduciary or follows a suitability standard.
5. Discuss any disciplinary history your firm may have. If there have been any legal or disciplinary events that are material to a client's evaluation of your firm or its representatives, you should disclose them.
6. Describe potential conflicts of interest. This should include any financial incentives or affiliations that could compromise your firm's objectivity in providing services to clients.
7. Provide information about the ways clients can access your firm's research and make investments through your firm.
8. Explain whether there are any minimum account sizes or minimum investment amounts required by your firm.
9. Discuss the types of clients that your firm generally services. This may include information about the types of individuals or entities that your firm typically works with.
10. Provide contact information for clients who have questions or concerns about their relationship with your firm. This should include the name and phone number or email address of a representative that clients can reach out to.
11. Finally, make sure to include the date of the disclosure document and any required signatures at the end.

Who needs client relationship summary disclosure?

1. Client relationship summary disclosure is necessary for financial advisory firms who are registered with the U.S. Securities and Exchange Commission (SEC) or state securities regulators.
2. These firms are required to provide the client relationship summary disclosure to both new and existing clients.
3. It is important for clients to receive this disclosure to understand important information about the firm's services, fees, conflicts of interest, and disciplinary history.
4. The purpose of this disclosure is to help clients make informed decisions when choosing a financial advisor and to ensure transparency in the client-advisor relationship.

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What is client relationship summary disclosure?

Client relationship summary disclosure is a document that provides clients with essential information about the services offered by financial advisors, including potential conflicts of interest, fees, and the nature of the relationship.

Who is required to file client relationship summary disclosure?

Registered investment advisers and broker-dealers are required to file client relationship summary disclosures with the Securities and Exchange Commission (SEC) and provide them to their clients.

How to fill out client relationship summary disclosure?

To fill out a client relationship summary disclosure, firms must provide accurate and clear information about their services, fees, investment strategies, risks, disciplinary history, and any conflicts of interest in a standardized format.

What is the purpose of client relationship summary disclosure?

The purpose of client relationship summary disclosure is to enhance transparency and help clients make informed decisions regarding their investments and the financial professionals they choose to work with.

What information must be reported on client relationship summary disclosure?

Required information includes the firm's fees, investment offerings, services, the disciplinary history of brokers, conflicts of interest, and how clients can reach the firm with questions.