Disclosures

Financial Disclosures

We embrace transparency of information that may help our clients (and prospective clients) make informed decisions. For your convenience, below are links to all of our disclosures. Please do keep in mind that not all disclosures pertain to all client relationships. This will depend on the particular services, accounts or products that you choose to engage us for. We'll tell you which items pertain to you, as needed, but don't hesitate to ask us for clarification at any time.  

 

  • ADV Brochure 2A: This form is updated periodically and presents information about Cambridge Investment Research Advisors, Inc., though which Chuck and Cristina offer advisory services. 
  • ADV Brochure 2B: Provides details about each Financial Professional. This is updated if anything changes with your Investment Advisor Representative.
  • Wealthport Wrap Brochure: this brochure provides information about the Wealthport Wrap program through Cambridge and includes details about the Cambridge Asset Allocation Platform (CAAP).
  • Cambridge Form CRS: Provides information regarding brokerage services. 
  • CIRA Form CRS: Provides information regarding investment advisory services.
  • CRS Supplement: Provides additional information beyond both the Cambridge Investment Research, Inc. Form CRS and Cambridge Investment Research Advisors (CIRA) Form CRS. 

If you have any questions, please feel free to contact us at 513-251-6400

3rd Party Links:

Content provided via links to third party sites should not be considered an endorsement of content, which we cannot verify completeness or accuracy of.

Email Disclosures:

Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Chuck Cole Financial Services, LLC and Cambridge are not affiliated.

The information in this email is confidential and is intended solely for the addressee. If you are not the intended addressee and have received this email in error, please reply to the sender to inform them of this fact.

We cannot accept trade orders through email. Important letters, email, or fax messages should be confirmed by calling 513.251.6400. This email service may not be monitored every day, or after normal business hours.

Client Facing Material Disclosure:

Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Chuck Cole Financial Services, LLC and Cambridge are not affiliated.

Social Media Disclosure:

Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Chuck Cole Financial Services, LLC and Cambridge are not affiliated.

Website Disclosure:

Investment Advisory Services offered through Investment Advisor Representatives of Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC, to residents of: OH, KY, IN, NC

Internet Requirements:

Please considered these important points when preparing internet material.

  • The website must include the broker-dealer disclosure on each page. In the broker-dealer disclosure, hyperlinks must be provided for FINRA (www.finra.org) and SIPC (www.sipc.com) websites.
  • A website or home page is limited to the dissemination of general information on products and services available and may not involve effecting or attempting to effect transactions in securities, rendering a specific investment recommendation, or, in the case of an RIA, rendering a personalized investment advice for compensation.
  • Use current information, because outdated information runs a high risk of being inaccurate and may mislead investors.
  • If FINRA or SIPC memberships are included, the site must show hyperlinks to FINRA’s internet home page and SIPC’s website.
  • All websites disclosing Cambridge as a broker-dealer, including websites of rep-advisors, must include a reference and hyperlink to FINRA’s BrokerCheck system. Social media sites such as Facebook, LinkedIn, and Twitter are exempt from this requirement and do not need to reference BrokerCheck.