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BrokerDealer Client Relationship Summary (Form CRS) January 25, 2021Vanguard Marketing Corporation (VMC) Registered with the Securities and Exchange Commission (SEC) as a BrokerDealer. The services

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How to fill out broker-dealer client relationship summary

01

To fill out the broker-dealer client relationship summary, follow these steps:

02

Start by entering the name and contact information of the broker-dealer firm.

03

Provide a brief description of the firm's services and the types of investments offered.

04

Specify the fees and costs associated with these services, including any potential conflicts of interest.

05

Explain the ways in which the firm is compensated and whether they receive any additional compensation from other parties.

06

Disclose any disciplinary history or legal actions taken against the firm or its employees.

07

Provide information about the firm's policies and procedures for safeguarding clients' assets and privacy.

08

Include details about the firm's educational background, qualifications, and any relevant industry certifications.

09

Clearly present the options available to clients for resolving disputes with the firm.

10

Lastly, provide the contact information for any questions or concerns about the client relationship summary.

Who needs broker-dealer client relationship summary?

01

Any individual or entity considering engaging the services of a broker-dealer firm needs the broker-dealer client relationship summary.

02

This summary is designed to provide prospective clients with essential information about the firm's background, services, fees, and potential conflicts of interest.

03

It helps potential clients make informed decisions about whether to enter into a relationship with the broker-dealer firm and what to expect from that relationship.

04

Existing clients may also refer to the summary for a clear understanding of the details discussed in their client relationship.

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What is broker-dealer client relationship summary?

The broker-dealer client relationship summary is a document that provides a summary of the relationship between a broker-dealer and its clients, including key information and disclosures.

Who is required to file broker-dealer client relationship summary?

Broker-dealers are required to file the broker-dealer client relationship summary as part of their regulatory obligations.

How to fill out broker-dealer client relationship summary?

Broker-dealers should fill out the broker-dealer client relationship summary by providing accurate and complete information about their relationships with clients, including fees, services, and potential conflicts of interest.

What is the purpose of broker-dealer client relationship summary?

The purpose of the broker-dealer client relationship summary is to provide clients with important information about their relationship with the broker-dealer, helping them make informed decisions.

What information must be reported on broker-dealer client relationship summary?

The broker-dealer client relationship summary must include information about services offered, fees charged, conflicts of interest, disciplinary history, and other relevant information.

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