Investment Accounts Disclosure

Katherine Nixon is a representative of J.W. Cole Financial, Inc., Member FINRA, SIPC, and an Investment Advisory Representative of J.W. Cole Advisors, Inc.

It is important to understand these and other facts about investment accounts and the commissions that are earned on your financial transactions:

  • It is the client’s responsibility to inform the representative, Katherine Nixon, of any family or wealth changes that would impact either the risk level acceptable to them, or their time frame for their investments.

  • No guarantees have been or can be made as to the results of a client’s portfolio.

  • Investments are not insured and will change in value and can lose value.

  • Each client must review their portfolio choices and decide that it is appropriate for their selected risk and investment tolerances. It is their responsibility to review statements & initiate any changes.

As a registered representative and investment advisor representative, Katherine Nixon will receive compensation for the sale of investment securities and fee-based asset management services from the aforementioned entities.  The amount of compensation will vary depending upon the particular financial product and based on the amount invested.  Total compensation for investment company securities is full disclosed in the prospectus of each product.  Some investment securities pay compensation after the first year of sale.  For stocks, bonds, and other securities, the commission will be disclosed via a schedule, mutual agreement, or listed as a dollar amount on the initial agreement.  The fee-based asset management compensation is fully disclosed in the advisory contract we will enter into before establishing such an account.

Katherine will give you a receipt of this disclosure and a prospectus for investment company securities. She will be happy to discuss your investment account and her commissions and fees with you at any time.

Individualized responses to persons by SETFS, LLC and JWCole and its representatives that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, as may be, will not be made absent compliance with state broker-dealer and representative or an applicable exemption or exclusion. 

Clients are under no obligation whatsoever to follow any recommendations made or to purchase any other products or services offered by or through Katherine Nixon.

It is understood that no discretionary authority has been authorized.  All future investment allocations and/or movements will be discussed and approval must be given before any action may be taken.  Only authorized account holders may make investment requests to Katherine Nixon.

SETFS, LLC

Office: (281) 370-6622

   Cell: (936) 870-8256

Katherine Nixon
CPA, CPC, PMP

Office : 281-370-6622

Cell: 936-870-8256

Katherine Nixon is a licensed CPA and financial advisor. Securities offered through J.W. Cole Financial, Inc.

Member FINRA/SIPC www.finra.org and www.sipc.org Advisory services offered through J.W. Cole Advisors, Inc.
J.W. Cole Financial, Inc., J.W. Cole Advisors, Inc., and SETFS, LLC are unaffiliated entities. Advisors must be properly registered in the state where you live in order to conduct securities related business with you. A response to your request for information might be delayed in order to assure our compliance with this regulation. No information provided on this site is intended as a solicitation to buy or sell any security. The investments and services mentioned may not be available in every state. No security will be offered or sold to any person, in any state in which such offer, solicitation, purchase, or sale would be unlawful under securities laws of such jurisdictions.

 

Katherine Nixon is a licensed CPA, not a CPA firm, yet does tax return preparation.

​© 2017 by Katherine Nixon. All Rights Reserved