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
Katherine Nixon
CPA, CPC, PMP

Office: (281) 370-6622

   Cell: (936) 870-8256