Legal & Disclosures
To read our current ADV II Registered Investment Advisors Registration document - CLICK HERE
To read our current Code of Ethics and Professional Standards - CLICK HERE
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 National Association of Securities Dealers, Inc. (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.
