Regulatory Information
Federal and/or State securities laws require brokers, investment advisors and their firms to be licensed or registered. They also require these firms and their brokers/advisors to make important information available to the public. It is always prudent for a consumer to protect themselves and their assets by exercising due diligence on any prospective professionals and their firms before they engage in business activities.
Before you invest or make financial commitments to any individual, make sure they are properly licensed for the products or services they are providing, confirm the license is valid and current, and ensure that they are part of a legitimate firm properly authorized to transact such business.
Brokers and Brokerage Firms
The Central Registration Depository (CRD) database contains information on most brokers, their representatives, and the firms they work for. You can use this resource to determine license and complaints. You can contact your state securities regulator and FINRA (Financial Industry Regulatory Authority) to get more information. You can find more information on states at www.nasaa.org/quicklinks/ContactYourRegulator.cfm and information from FINRA at “Broker Check” below.
www.finra.org/investors/ToolsCalculators/BrokerCheck/index.htm.
Investment Advisors
People or firms who get paid to give advice about investing in securities generally must register with SEC or the state securities agency where they have their principal place of business. The specific regulator is usually determined by the amount and type of business performed.
To find out information on advisers you will need to review their registration forms generally called “Form ADV”. This document contains information on the advisers and their firms which is contained in 2 parts. It’s prudent to review both parts of these forms before engaging in business with an adviser.
You can find ADV information online at the IAPD (Investment Advisor Public Disclosure) site www.adviserinfo.sec.gov and by contacting your State’s securities regulatory agency.
Because some investment advisers and their representatives are also brokers, you may want to check both the CRD and the ADV’s.
Apertum Asset Management, LLC.
Apertum is a registered investment adviser and its representatives are licensed registered adviser representatives. All are registered with the State of Missouri. The firm is not a broker/dealer and its representatives are not brokers. Our informational documents are available to clients or prospective clients at anytime. A copy of these documents can be obtained by contacting the following either in writing or by phone:
Contact: Jerry R Jacobs
Apertum Asset Management, LLC
615 Shadowridge Dr
Wildwood, MO 63011
636-442-1674
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