PLEASE NOTE: The information being provided is strictly as a courtesy. When you access one of these websites, you are leaving our website and assume total responsibility and risk for your use of the websites you are linking to. We make no representation as to the completeness or accuracy of information provided on these websites. Nor is the company liable for any direct or indirect technical or system issues or any consequences arising out of your access to, or your use of third party technologies, websites, information, and programs made available through this website.
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Website States Disclosures
Internet communications pose special licensing problems because of the accessibility to the public across jurisdictional lines. A financial professional is not permitted to make any direct communication with a prospective client unless the financial professional is appropriately registered in that prospective client’s state.
For this reason, each website must have the standard Cambridge disclosures along with a listing of the states in which the financial professional is registered to offer securities. An example of how this could be listed is as follows:
Advisory Services offered through Investment Advisor Representatives of Metam Wealth Advisors, a Registered Investment Adviser.
Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker-dealer, member FINRA (www.finra.org) / SIPC (http://www.sipc.org) to states of AL, AR, AZ, CA, CO, FL, GA, IL, KY, LA, MI, MO, MS, MT, NC, NJ, PA, TN, TX, VA, WA. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser.
Cambridge and Metam Wealth Advisors are not affiliated.
If you do not wish to include the listing of states within your disclosure, a legend similar to the following must be included that mentions in which states you are registered to conduct securities business:
This communication is strictly intended for individuals residing in the states of <list states where the registered representative is registered to conduct securities business, and if applicable, as an investment advisor. No offers may be made or accepted from any resident outside the specific state(s) referenced.
Important Consumer Information
A broker-dealer, investment advisor, BD agent, or IA representative may only transact business in a state if first registered appropriately. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements.
For information concerning the licensing status or disciplinary history of a broker-dealer, investment adviser, BD agent, or IA representative, a consumer should contact his or her state securities law administrator.