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Retail Client Relationship Summary (Form CRS) Trust Advisory Services, Inc. TAS and Trust Investment Services, Inc. TIS referred to here as our, us, we or the Firm are wholly owned, nonbank subsidiaries

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How to fill out retail client relationship summary

01

To fill out the retail client relationship summary, follow these steps:

02

Start by providing your contact information, including your full name, address, phone number, and email address.

03

Identify your background, including your education and any relevant work experience in the financial industry.

04

Next, provide information about your services and products, including a description of the types of investments you offer and any fees or charges associated with them.

05

Disclose any conflicts of interest that may arise from your services or products.

06

Outline your disciplinary history, including any legal or regulatory actions taken against you or your firm.

07

Finally, include information about how clients can contact you with questions or complaints, and provide any additional disclosures or information that may be required.

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Make sure to carefully review the summary before submitting it and ensure that all information provided is accurate and up to date.

Who needs retail client relationship summary?

01

The retail client relationship summary is needed by financial advisors, investment firms, and other entities that provide services or products to retail clients.

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Retail clients are individual investors who seek financial advice or purchase financial products for personal use rather than institutional or professional purposes.

03

Regulators require financial professionals to provide a clear and concise summary of their services and disclose important information to retail clients so that they can make informed decisions.

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What is retail client relationship summary?

The retail client relationship summary is a disclosure document that provides important information about the relationship between a retail client and a broker-dealer or investment adviser.

Who is required to file retail client relationship summary?

Broker-dealers and investment advisers are required to file the retail client relationship summary.

How to fill out retail client relationship summary?

The retail client relationship summary can be filled out by providing accurate and complete information about the services offered, fees and costs, conflicts of interest, and other important details of the client relationship.

What is the purpose of retail client relationship summary?

The purpose of the retail client relationship summary is to help retail clients make informed decisions about their investment services and to understand the key aspects of their relationship with the broker-dealer or investment adviser.

What information must be reported on retail client relationship summary?

The retail client relationship summary must include information about the services offered, fees and costs, conflicts of interest, disciplinary history, and other important details of the client relationship.

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