Financial Planner Disclosure Form

 

As required by Minnesota Regulations 2790.0550, you are entitled to the following information regarding the products, services, or proposed services I offer in financial planning:

 

1.   My compensation may be based on the following:

               A.  (   )  Commissions, generated from the product I sell you

               B.  (X)  Fees

               C.  (   )  A combination of A and B

D.     (X)  No Fee for employees and family members of Adviser Financial

             Group, and employees of companies or organizations with a master                                   agreement.

 

2.     I am authorized to offer or sell products and/or services issued by or through the following firms:  Various no-load mutual fund families, discount brokerage firms and companies offering insurance without sales commissions.

 

3.   I am licensed in Minnesota as an:

               (X)    Insurance Agent (MN License# 61886)

               (   )   Securities Agent or Broker/Dealer

               (X)   Registered Investment Advisor Representative

 

4.   This license entitles me to offer or sell the following products or services:

Fee-for-service financial planning, insurance consulting, pension consulting, money management and investment advisory services.

 

 

Please sign a copy of this disclosure form, indicating by doing so that you have read and understand the terms of this disclosure.   You must be given a copy of this form.

I also acknowledge receiving a copy of Adviser Financial Group’s ADV Form Part II disclosure form and Notice of Privacy Practices.

 

 

Signature__________________________                  Date____________

 

Signature__________________________                  Date____________

 

Signature for the firm_________________________