This site has been published in the United States for residents of the United States. The foregoing has been prepared solely for informational purposes, and it is not an offer to buy or sell or a solicitation of an offer to buy or sell any security or instrument or to participate in any particular trading strategy.
Much of the information offered on this site is offered through third-party independent vendors and non-affiliated market sites. Gary Goldberg Financial Services offers no opinion as to the accuracy or timeliness of any information provided within this site, nor offers any guarantees as to the accuracy or timeliness of any information contained within this site. Consumers and/or members of the public should not exclusively rely upon this information when considering investments decisions.
Gary Goldberg Financial Services, and any of its employees acting as an agent, may transact business in a particular state only if first registered, excluded or exempted from registration requirements either individually or as a firm. In addition, follow-up conversations or meetings with individuals in a particular state by either Gary Goldberg Financial Services, or its employees acting as agent to effect transactions in securities or discuss securities, investment planning or other personal investment advice will not be made without first becoming registered, excluded or exempted from registration requirements either individually or as a firm. Member FINRA & SIPC. Securities cleared through National Financial Services LLC.
With passage of the USA PATRIOT Act and SEC approval of the Treasury Department's Customer Identification Rules, Gary Goldberg Financial Services must notify all public and institutional clients of its obligation to verify their identity. Verification of identity will take place through various means, such as comparing information provided by the client against databases like Equifax or Lexis/Nexis, requiring photocopies of a driver's license, passport, or alien registration card, or obtaining other documents of attestation as to that client's identity.
The Management of GGFS would like to thank all clients for their cooperation in assisting the firm in doing its part to maintain the integrity of the U.S. securities markets.
ADV 2A Appendix I
The GGFS Code of Ethics
GGFS has adopted a Code of Ethics expressing the firm's commitment to ethical conduct. GGFS's Code of Ethics describes the firm's fiduciary duties and responsibilities to clients, and sets forth GGFS's practice of supervising the personal securities transactions of supervised persons with access to client information. Individuals associated with GGFS may buy or sell securities for their personal accounts identical to or different than those recommended to clients. It is the expressed policy of GGFS that no person employed by GGFS shall prefer his or her own interest to that of an advisory client or make personal investment decisions based on the investment decisions of advisory clients.
To supervise compliance with its Code of Ethics, GGFS requires that anyone associated with this advisory practice with access to advisory recommendations provide initial/annual securities holdings reports and quarterly transaction reports to the firm's Chief Compliance Officer. GGFS requires such access persons to also receive approval from the Chief Compliance Officer prior to investing in any IPOs or private placements (limited offerings).
GGFS requires that all individuals must act in accordance with all applicable Federal and State regulations governing registered investment advisory practices. GGFS's Code of Ethics further includes the firm's policy prohibiting the use or misuse of material non-public information. Any individual not in observance of the above may be subject to discipline.
GGFS will provide a complete copy of its Code of Ethics to any client upon written request to the Chief Compliance Officer at GGFS’s principal address.
How to Register a Complaint
All inquiries, complaints and other correspondence should be sent to:
Gary Goldberg Financial Services
Attn: Chief Compliance Officer
75 Montebello Road
Suffern, NY 10901
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