Disclosures
Remember:To ensure the highest level of security, South Valley Wealth Management will NEVER request confidential information via email.
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Privacy Policy
Business Continuation Plan
Mutual Funds Breakpoint Disclosure Statement
Order Routing Disclosure
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IMPORTANT INFORMATION REGARDING THE NASD/FINRA PUBLIC DISCLOSURE PROGRAM!
NASD Rule 2280, Investor Education & Protection, requires that we provide an investor the avenues available to obtain Public Disclosure information about their broker/dealer. These are as follows:
1) NASD/FINRA Regulation Public Disclosure Program Hotline Number: 1-800-289-9999
2) NASD/FINRA Regulation Website Address: www.nasdr.com
For further information on the program you may obtain a Public Disclosure Program brochure through the NASDR website listed above, by calling NASD/FINRA Media Source at (240) 386-4200 or requesting one from our office.
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Notice of Identity Verification
To help the government fight the funding of terrorism and money laundering activities, Federal Law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. If we are unable to verify a client's identity within a reasonable period of time after account opening, the account may be restricted or closed.
Member FINRA
Member SIPC
Investment Products
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Not FDIC Insured · No Bank Guarantee · May Lose Value
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