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.
Investment Management Disclosures
The information contained herein is general in nature and is provided for informational purposes only. This material is not intended to be a recommendation or investment advice, does not constitute a solicitation to buy or sell securities, and is not provided in a fiduciary capacity. The information provided does not take into account the specific objectives or circumstances of any particular investor or suggest any specific course of action. Investment decisions should be made based on an investor’s objectives and circumstances and in consultation with his or her advisors. It is important to review investment objectives, risk tolerance, liquidity needs, tax consequences and any other considerations before choosing an investment style or manager.
The strategies and products offered may not be suitable for all advisory clients. GW & Wade does not guarantee that goals or objectives will be achieved.
All investments carry the risk of loss, including the risk of loss of principal invested. Past performance does not indicate future results. Dividends are not guaranteed and will fluctuate.
Investment advisory services provided by GW & Wade, LLC.