Investor Education and Protection Disclosure
FINRA Rule 2267
The Financial Industry Regulatory Authority runs a public disclosure program known as BrokerCheck that provides information about brokerage firms and their registered persons. To obtain an investor brochure that includes information about BrokerCheck or to obtain additional information, contact the FINRA public disclosure hotline at (800) 289-9999 or visit the BrokerCheck website at http://brokercheck.finra.org/. FINRA’s general website is located at www.finra.org/.
Disclosure of Financial Condition
FINRA Rule 2261
Copies of the audited financials of GW & Wade Asset Management Company, LLC, will be provided to any customer upon written request. Please contact the firm’s Chief Compliance Officer at (781) 239-1188.
FINRA Rule 2266
You may obtain information about the Securities Investor Protection Corporation (SIPC), including a copy of the SIPC brochure, by calling them at (202) 371-8300 or visiting their website at www.sipc.org.