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2007 Accounting and Financial Planning
News
2006 Accounting and Financial
Planning News
2005 Accounting and Financial
Planning News
2004 Accounting and Financial
Planning News
2003 Accounting and Financial
Planning News
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planning or investment advisory services via the Internet. The purpose of
the Internet web page of RDA is to disseminate general information
regarding the Advisor and the associated persons of the Advisor, and to
provide an alternative means for a prospective client to obtain more
information regarding the firm`s services. Advice can only be rendered
after the following conditions are met: |
- An Investment Advisor or IA
representative may only transact business in a particular state after
licensure or satisfying qualifications requirements of that state, or if
they are excluded or exempted from the state`s investment advisor or IA
representative requirements.
- Follow-up, individualized
responses to consumers in a particular state by an investment advisor or
IA representative involving either the effecting of, or attempting to
effect, transactions in securities, or the rendering of personalized
investment advice for compensation, as the case may be, shall not be
made without first complying with the state`s investment advisor or IA
representative requirements, or pursuant to an applicable state
exemption or exclusion.
- For information concerning the
licensure status or disciplinary history of an investment advisor or IA
representative, a consumer should contact his or her State Securities
law administrator.
- Delivery of a disclosure
statement by Advisor to a prospective client.
- Execution of an Engagement
letter between Rowling, Dold & Associates LLP and the client and
receipt of the financial planning fee retainer or the investment
advisory fee by Rowling, Dold & Associates LLP.
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Please note that the recognition
of Rowling, Dold & Associates LLP and/or Sheryl L. Rowling
(collectively or individually referred to as "the firm") should not be
construed by any existing or prospective client as a guarantee that they
will experience a certain level of results if they engage or continue to
engage the firm's services nor should it be construed as a current or past
endorsement of the firm by any of its clients. Lists or rankings
published by magazines and other sources are generally based exclusively
on information prepared and submitted by the recognized
adviser. |
Rowling, Dold &
Associates LLP
In Mission Valley at 8889 Rio San Diego Drive, Suite 202
• San Diego, CA 92108
619-294-4800 • 888-294-4890 • Fax:
619-294-9314 |
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