|
RDA does not offer financial 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.
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.
|
