What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
David is an independent insurance agent and co-owner of a tree farm. He is also involved with MaxMyBenes LLC and Citadel Financial Services LLC, both related to fixed insurance, and spends full-time hours on the latter.