FAULKNER INVESTMENT SERVICES
FAULKNER INVESTMENT SERVICES, LLC
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Important Consumer Disclosure Information

 
Faulkner Investment Services, LLC (“FIS”) is a registered investment adviser located in Bellingham, Washington. FIS and its representative(s) are in compliance with the current filing requirements imposed upon registered investment advisers by those states in which FIS maintains clients. FIS may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. FIS’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of FIS’s web site on the Internet should not be construed by any consumer and/or prospective client as FIS’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by FIS with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of FIS, please contact the state securities regulators for those states in which FIS is registered. A copy of FIS’s current written disclosure statement discussing FIS’s business operations, services, and fees is available from FIS upon written request. FIS does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by an unaffiliated third party, whether linked to FIS’s website or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended or undertaken by FIS) made reference to directly or indirectly by FIS in its website, or indirectly via a link to an unaffiliated third party website, will be profitable or equal the corresponding indicated performance level(s). Different types of investments involve varying degrees of risk, and there can be no assurances that any specific investment will either be suitable or profitable for a client or prospective client’s investment portfolio. Historical performance results for investment indices and/or categories generally do not reflect the deduction of transaction and/or custodial charges, the deduction of an investment management fee, or the impact of taxes, the incurrence of which would have the effect of decreasing historical performance results.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by FIS), will be profitable or equal any historical performance level(s).

Certain portions of FIS’s website (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, FIS’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from FIS, or from any other investment professional. FIS is neither an attorney nor an accountant, and no portion of the website content should be interpreted as legal, accounting, or tax advice.

Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if FIS is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of FIS by any of its clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser.

To the extent that any client or prospective client utilizes any economic calculator or similar device contained within or linked to FIS’s website, the client or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or substitute for, personalized individual advice from FIS, or from any other investment professional.

FIS’s website is published for residents of the United States only. Investors outside of the United States may be subject to securities and tax regulations within their applicable jurisdictions.

Each client and prospective client agrees, as a condition precedent to his/her/its access to FIS’s website, to release and hold harmless FIS, its officers, directors, owners, and employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from FIS.



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