Disciplinary History. Do you or your financial professionals have legal or disciplinary history? Confluence and its financial professionals have not been subject to any disciplinary events by regulators nor is it a party to any legal events that are material to client evaluation of our advisory business. You can visit Xxxxxxxx.xxx/XXX for free and simple search tools to research us and our financial professionals. Conversation Starter - As a financial professional, do you have any disciplinary history? For what type of conduct?
Appears in 3 contracts
Samples: Investment Advisory Agreement, Investment Advisory Agreement, Investment Advisory Agreement
Disciplinary History. Do you or your financial professionals have legal or disciplinary history? Confluence and its financial professionals have has not been subject to any disciplinary events by regulators nor is it a party to any legal events that are material to client evaluation of our advisory business. You can visit Xxxxxxxx.xxx/XXX for free and simple search tools to research us and our financial professionals. Conversation Starter - As a financial professional, do you have any disciplinary history? For what type of conduct?
Appears in 1 contract
Samples: Investment Advisory Agreement
