Disclosures

Privacy
Business Continuity Statement
Client Identification Plan
Disclosure Document
SEC Order Execution/Routing Disclosure
ADV Part 2A
ERISA Section 408 (b)(2)
Social Media
Understanding Mutual Fund Share Classes
Characteristics & Risks of Standardized Options
Investors Rights and Responsibilities
Frequently Asked Questions

 

 

 

Frequently Asked Questions

What do I do if my account information such as my address or employer changes?
Please call your registered representative or 888-397-7358 so we can update your account records.

Who do I make my checks payable to?
Please make your checks payable to the clearing broker dealer, the investment company, or the insurance company where your account is held. If you do not know the name, please contact your registered representative.

Why do you have to verify my identity?
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person who opens an account.

When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

Who do I contact regarding a complaint I may have about the firm or my registered representative?
Contact “Compliance” at the Home Office at 888-397-7358 or by mail at:

Harbor Financial Services, LLC
11 North Water Street,
Suite 21290
Mobile, AL 36602
Attn: Compliance

 
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