Legal Disclosures and Compliance
Understanding Your Rights and Responsibilities
Welcome to our Disclosures page, where we provide essential information regarding the legal aspects of our investment advisory services. This page is designed to help you understand the regulations and protections in place to safeguard your investments.
Important Legal Disclaimers
All securities and investment advisory services are offered through Transamerica Financial Advisors, LLC (TFA), a member of FINRA/SIPC. It is important to note that investing involves risks, including the potential loss of principal. The information provided on this website is for informational purposes only and should not be considered as investment advice.
We strongly encourage you to review all relevant documents and consult with a financial advisor before making any investment decisions. Our goal is to ensure you are fully informed and confident in your investment choices.
Compliance Information
Adhering to Regulatory Standards
At Wealth with Billy Lim, we are committed to maintaining the highest standards of compliance with all applicable financial regulations. Our team diligently follows the guidelines set forth by regulatory bodies to ensure transparency and integrity in all our advisory services.
We prioritize your trust and work tirelessly to protect your interests by adhering to industry best practices and maintaining open communication. For more detailed information on our compliance policies, please contact our office or visit the regulatory websites linked below.
Investment Risks
Understanding the Risks of Investing
Investing in securities involves significant risks, including the potential loss of principal. It is crucial to thoroughly understand these risks before making any investment decisions. Our goal is to provide you with the necessary information to make informed choices, but please be aware that past performance is not indicative of future results.
Background Verification
Importance of BrokerCheck
Before engaging with any investment professional, it is essential to verify their credentials and background. FINRA’s BrokerCheck is a valuable tool that allows you to research the professional history of brokers and investment advisors. This step ensures that you are working with qualified individuals who adhere to industry standards.
At Wealth with Billy Lim, we prioritize transparency and encourage all our clients to utilize BrokerCheck to confirm the qualifications and track records of our team members. Your financial security is our top priority, and due diligence is a critical part of the investment process.
Phone
Address
Office Address: 1234 Divi St. #1000, San Francisco, CA 94220
For any inquiries related to our disclosures or legal matters, please reach out to us at the contact information provided. We are committed to addressing your questions and ensuring clarity in all our communications.
Need More Information?
If you have questions or need further clarification about our disclosures or legal information, don’t hesitate to reach out. Schedule a consultation with us today to ensure you have all the information you need to make informed decisions about your financial future.