3
IMPORTANT DISCLOSURE INFORMATION Website Coastal Equities, Inc. (“CEI”), a FINRA/SIPC member, and, its affiliate, Coastal Investment Advisors (“CIA”), an SEC registered investment adviser, are located in Wilmington, Delaware (collectively “Coastal”). Coastal and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Coastal maintains clients. Coastal may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Coastal’s web site(s) and those of its registered representatives are limited to the dissemination of general information pertaining to its brokerage and advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Coastal’s web site(s) and those of its representatives on the Internet should not be construed by any consumer and/or prospective client as Coastal’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Coastal with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Coastal, please contact the SEC or the state securities regulators for those states in which Coastal maintains a notice filing. A copy of Coastal’s current written disclosure statement discussing Coastal’s business operations, services, and fees is available from Coastal upon written request. Coastal does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Coastal web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly. Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Coastal), will be profitable or equal any historical performance level(s). Certain portions of Coastal’s web site(s) and those of its representatives (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Coastal (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Coastal, or from any other investment professional. Coastal is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice. Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Coastal is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Coastal by any of its clients. Rankings published by

IMPORTANT DISCLOSURE INFORMATION Website Coastal

  • Upload
    buibao

  • View
    217

  • Download
    4

Embed Size (px)

Citation preview

Page 1: IMPORTANT DISCLOSURE INFORMATION Website Coastal

IMPORTANT DISCLOSURE INFORMATION

Website Coastal Equities, Inc. (“CEI”), a FINRA/SIPC member, and, its affiliate, Coastal Investment Advisors (“CIA”), an SEC registered investment adviser, are located in Wilmington, Delaware (collectively “Coastal”). Coastal and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Coastal maintains clients. Coastal may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Coastal’s web site(s) and those of its registered representatives are limited to the dissemination of general information pertaining to its brokerage and advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Coastal’s web site(s) and those of its representatives on the Internet should not be construed by any consumer and/or prospective client as Coastal’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Coastal with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Coastal, please contact the SEC or the state securities regulators for those states in which Coastal maintains a notice filing. A copy of Coastal’s current written disclosure statement discussing Coastal’s business operations, services, and fees is available from Coastal upon written request. Coastal does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Coastal web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly. Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Coastal), will be profitable or equal any historical performance level(s). Certain portions of Coastal’s web site(s) and those of its representatives (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Coastal (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Coastal, or from any other investment professional. Coastal is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice. Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Coastal is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Coastal by any of its clients. Rankings published by

Page 2: IMPORTANT DISCLOSURE INFORMATION Website Coastal

magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to Coastal’s web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from Coastal, or from any other investment professional. Each client and prospective client agrees, as a condition precedent to his/her/its access to Coastal’s web site, to release and hold harmless Coastal, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from Coastal. Third party content and research This content (“Third Party Content”) is supplied or prepared by a Third Party Provider. Any Third Party provider is not affiliated with any Coastal Entity. This Third Party Content is protected by copyright pursuant to United States laws and international treaties and is owned or licensed by the Third Party Content provider(s) credited. Coastal has not been involved in the preparation, adoption or editing of Third Party Content and does not explicitly or implicitly endorse or approve such content. The Third Party Content providers do not implicitly or explicitly endorse or approve the Third Party Content, nor do they give investment advice, or advocate the purchase or sale of any security or investment. While Coastal makes every attempt to provide accurate and timely information to serve the needs of users, neither Coastal nor the Third Party Content providers guarantee its accuracy, timeliness, completeness or usefulness, and are not responsible or liable for any such content, including any advertising, products, or other materials on or available from third party sites. Third Party Content is provided for informational purposes only and Coastal and the Third Party Content providers specifically disclaim any responsibility for Third Party Content available. You will use Third Party Content only at your own risk. THE THIRD PARTY CONTENT IS PROVIDED ON AN "AS-IS" BASIS. THE THIRD PARTY CONTENT PROVIDERS EXPRESSLY DISCLAIM ALL WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING WITHOUT LIMITATION ANY WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT. Past Performance Past performance may not be indicative of future results. Different types of investments involve varying degrees of risk. Therefore, it should not be assumed that future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended or undertaken by Coastal Investment Advisors or Coastal Equities, Inc. (collectively, “Coastal”)) will be profitable or equal the corresponding indicated performance level(s). Moreover, you should not assume that any of the above content serves as the receipt of, or as a substitute for, personalized investment advice from Coastal. Please remember to contact Coastal if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services. Please also advise us if you would like to impose, add,

Page 3: IMPORTANT DISCLOSURE INFORMATION Website Coastal

or to modify any reasonable restrictions to our investment advisory services. A copy of our current written disclosure statement discussing our advisory services and fees continues to remain available for your review upon request. Historical performance results for investment indices and/or categories have been provided for general comparison purposes only, and generally do not reflect the deduction of transaction and/or custodial , the deduction of an investment management fee, nor the impact of taxes, the incurrence of which would have the effect of decreasing historical performance results. It should not be assumed that your account holdings do or will correspond directly to any comparative indices.