Disclosures

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Any investment program may be volatile and involves the risk of loss of capital. Past performance is no guarantee of future returns. Not all past predictions were necessarily as accurate as those represented in the content of this website.

ADV Brochure

This disclosure document is required by the U.S. Securities and Exchange Commission and South Carolina Securities Commission. It describes our investment strategies, business experience background, ownership structure, education, members of our professional staff, and other regulatory disclosures. You may view our Firm Brochure by searching our name on the SEC IAPD. Click to view our Firm Brochure or call to request a copy by mail 864-248-6511.

Privacy Policy

As a client of either firm, you should be aware of the firm’s policies regarding our use of the information you provide us when establishing or while maintaining a relationship with us.

Privacy Policy

Southeast Financial Advisors do not sell personal information about our clients to anyone. We will not share personal information about our clients with other companies unless we need to share the information in order to provide a product or service a client has requested. Unless we tell the clients otherwise, these other companies do not have the right to use clients’ personal information, obtained from our firms, in any manner beyond what is required to provide a client’s requested product or service. Our firms limit the collection of personal information to what is necessary to administer our business and to deliver our products and services to our clients. We do reserve the right to disclose or report information in limited circumstances where we believe in-good-faith that disclosure is required under law, to cooperate with regulators or law enforcement authorities, to perform necessary credit checks or collect or report debts owed to us, to protect our rights or property, or upon reasonable request by the sponsor or provider of a product in which you have chosen to invest. Listed below is the information we do collect and how we use that information. Forms you fill out to interact with our companies such as: new accounts forms, agreements, contracts, questionnaires, and miscellaneous forms. The forms may request personal information such as your telephone number, mailing address, financial information, employment information, investment objectives and financial need. How we use this information: to conduct business with you. At no time do we sell your information or share it unless necessary to conduct business with you.

Protection of Client Information

Our firms’ policies require that employees with access to confidential client information may not sue or disclose the information except for business use. Access to client information is restricted to our employees, representatives, and agents with a business reason for access to such information. We safeguard information according to established security standards and procedures and train our employees and representatives to understand and comply with these protections.

Changes to Firm Privacy Policies

From time to time the firms may update their privacy policies. All new clients will receive the firms’ most current privacy policy upon entering an agreement or opening an account with the firms.

Maintaining the Accuracy of Client Information

Keeping client account information accurate and up-to-date is very important to us. If you ever find that your account information is incomplete, inaccurate, or not current, please write us at the location listed on this website. We will correct any inaccurate or outdated information as soon as possible.