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.
Robert is involved with Doozy Cards, LLC, dedicating a few hours per week. He also spends minimal time per week with Broxton Capital Advisors and nearly full-time hours with Hudson Cooper Asset Mgmt, Inc.