Legal & Disclosures
Click here to read our current ADV II Registered Investment Advisor Registration document
Click To View
Form ADV Schedule F
Click here to read our current Code of Ethics and Professional Standards
Click
here to read our Business Continuity Plan
Securities offered through Cascade Financial
Management, Inc.
Member MSRB, FINRA, SIPC
Privacy Statement
Client 1st Advisors,
Inc., an independent Wealth Management firm, is committed to
safeguarding the confidential information of its clients. We
hold all personal information provided to our firm in the strictest
confidence. These records include all personal information
that we collect from you or receive from other firms in connection
with any of the financial services provided by Client 1st Advisors.
We also require other firms with whom we deal to restrict the use of
your information.
A complete privacy
statement concerning our firm's policy is available upon request.
You may obtain it in person, or through a written or electronically
delivered request to Craig Phillips, CFP at
craig@client1stadvisors.com
or simply by calling us at (727) 450-2301.
Client 1st Advisors, Inc. (Client
1st) is an SEC registered investment adviser located in Clearwater,
Florida. Client 1st and its representatives are subject to the
current registration and/or notice filing requirement imposed upon
SEC registered investment advisers by those states in which Client
1st maintains clients. Client 1st may only transact business in
those states in which it is registered, or qualifies for an
exemption or exclusion from registration requirements. Client 1st’s
web site is limited to the dissemination of general information
pertaining to its investment advisory services. Accordingly, the
publication of Client 1st’s web site on the Internet should not be
construed by any consumer and/or prospective client as Client 1st’s
solicitation to effect, or attempt to effect transactions in
securities, or the rendering of personalized investment advice for
compensation, over the Internet. Any subsequent, direct
communication by Client 1st with a prospective client should be
conducted by a representative that is either registered or qualifies
for an exemption or exclusion from registration in the state where
the prospective client resides.
For information pertaining to the registration status of Client 1st,
please contact the United States Securities and Exchange Commission
(the Commission) and/or the state securities law administrators for
those states in which Client 1st maintains a notice filing. A copy
of Client 1st’s current written disclosure statement discussing
Client 1st’s business operations, services, and fees is available
from Client 1st upon written request. In addition, certain of Client
1st's investment adviser representatives are also, in their
individual capacities, registered representatives of Cascade
Financial Management, Inc. (Cascade, a broker-dealer registered with
the Commission and a member of both the
Financial Industry Regulatory Authority
(FINRA) and Securities Investor Protection Corporation (SIPC)
Municipal Securities Rulemaking Board (MSRB). Accordingly, those
investment adviser representatives of Client 1st who are also
registered representatives of Cascade, may, in their individual
capacities, effect securities transactions for public customers on a
fully disclosed commission basis in those states in which both
Cascade and the specific registered representative is registered, or
qualifies for an exemption of exclusion from registration
requirements. For information pertaining to the registration status
and/or disciplinary history of Cascade or any Client 1st investment
adviser representative that also serves as a registered
representative of Cascade, please contact the SEC, FINRA and/or
state securities law administrators for those states in which
Cascade and/or the specific registered representative maintain a
registration filing. Client 1st does not make any representations or
warranties as to the accuracy, timeliness, suitability,
completeness, or relevance of any information prepared by any
unaffiliated third party, whether linked to Client 1st's web site or
incorporated herein, and takes no responsibility therefore.
All such information is provided solely for convenience purposes
only and all users thereof should be guided accordingly.
