spc - investment advisory fee-based or brokerage account ...€¦ · all relevant disclosure...

Form Version 08/17/2020 SPC Financial® Investment Advisory Fee-Based or Brokerage Account Choice Assessment Investment advice provided to clients, including advice about account types, must be in the client’s best interest. In fulfilling this SEC obligation, advisors should consider and assess all account types that SPC Financial, Inc. offers and recommend only those account types that are in the client’s best interest and acknowledge to the client when certain account types are not in the client’s best interest. The Financial Advisor is responsible for making this Assessment below. Advisor Name and Rep # Account Registration(s) (may be completed by CSA) Account Number(s) (may be completed by CSA) 1) 2) 3) 4) Investment Advisory Relationship Selection Investment Advisory Relationship (Account Type Selected) Fee-Based Commission-Based (Brokerage) The above account type was selected because it was determined to be in the client’s best interest based upon the relevant services, fees and costs and the following factors: • Investment objectives • Financial situation • Level of financial sophistication • Investment experience • Financial goals • Preferences and expectations Other specific considerations for this decision are as follows: Explained Features and Services Any client questions regarding the differences between Fee-Based and Commission-Based (Brokerage) relationships were discussed. Delivered Disclosure Documents All relevant disclosure brochures (e.g., Form CRS (Client Relationship Summary), ADV Firm Brochure and Wrap-Fee Program Brochure, and ADV Form 2B) related to the investment account type selection have been or will be delivered at the appropriate time. The client has (Y) or has not (N) signed SPC’s Financial Planning Agreement setting for the scope of financial planning services being provided. Ongoing Monitoring If Fee-Based is checked above, in addition to the required ongoing monitoring, the client is interested in receiving at least one of the following services (or other service set forth in SPC’s Financial Planning Agreement if signed by the client): • Advice and guidance on asset allocation • Advice and guidance on investment vehicle • Financial planning • Education planning • Estate planning • Retirement education • Advice and guidance on investment managers Completed By: Reviewed By: Financial Advisor Date Chief Compliance Officer Date

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Form Version 08/17/2020

SPC Financial® Investment Advisory Fee-Based or Brokerage Account Choice Assessment Investment advice provided to clients, including advice about account types, must be in the client’s best interest. In fulfilling this SEC obligation, advisors should consider and assess all account types that SPC Financial, Inc. offers and recommend only those account types that are in the client’s best interest and acknowledge to the client when certain account types are not in the client’s best interest. The Financial Advisor is responsible for making this Assessment below.

Advisor Name and Rep #

Account Registration(s) (may be completed by CSA)

Account Number(s)(may be completed by CSA)

1)

2)

3)

4)

Investment Advisory Relationship Selection

Investment Advisory Relationship

(Account Type Selected) Fee-Based Commission-Based (Brokerage) The above account type was selected because it was determined to be in the client’s best interest based upon the relevant services, fees and costs and the following factors: • Investment objectives • Financial situation

• Level of financial sophistication • Investment experience

• Financial goals • Preferences and expectations

Other specific considerations for this decision are as follows:

Explained Features and Services Any client questions regarding the differences between Fee-Based and Commission-Based (Brokerage) relationships were

discussed.

Delivered Disclosure Documents All relevant disclosure brochures (e.g., Form CRS (Client Relationship Summary), ADV Firm Brochure and Wrap-Fee Program

Brochure, and ADV Form 2B) related to the investment account type selection have been or will be delivered at the appropriate time.

The client has (Y) or has not (N) signed SPC’s Financial Planning Agreement setting for the scope of financial planning services

being provided. Ongoing Monitoring If Fee-Based is checked above, in addition to the required ongoing monitoring, the client is interested in receiving at least

one of the following services (or other service set forth in SPC’s Financial Planning Agreement if signed by the client):

• Advice and guidance on asset allocation• Advice and guidance on investment vehicle • Financial planning • Education planning

• Estate planning• Retirement education • Advice and guidance on investment managers

Completed By: Reviewed By: Financial Advisor Date Chief Compliance Officer Date

Advisor Name and Rep: 1: 2: 3: 4: 1_2: 2_2: 3_2: 4_2: Other specific considerations for this decision are as follows: Fee-Based: OffCommission-Based: OffDropdown11: [ ]Explained Features and Services: OffDisclosure Brochures: OffOngoing Monitoring: OffFA Date Signed: CCO Date Signed: