This Advertising – Endorser (Affiliated) – Disclosure Statement is a sample investment adviser form which is intended for an affiliated endorser or solicitor of an investment adviser for documenting the required disclosures under SEC Rule 206(4)-1.
This endorser disclosure statement explains that that the endorser is employed by an affiliate of the investment adviser firm, describes the affiliated endorser’s conflict of interest and notes the limitations of the endorser’s activities.
Available to Platinum & Titanium clients. Available to purchase a la carte in our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-endorser-disclosure-statement/