Compliance Disclosures

Compliance Disclosures2019-10-07T09:23:50-04:00

Investment Advisory Agreement

Agreement to engage Successful Portfolios as your investment advisor. A simple, client-friendly, single page document.

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SEC Form ADV Part 2

Successful Portfolios “Client Brochure” as filed with the U.S. Securities and Exchange Commission. Advisor fees and compensation included.

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Investment Policy Statement (IPS) Template

Use this sample IPS as a template to create your own personalized set of guidelines for Successful Portfolios to follow when managing your account.

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Code of Ethics

Successful Portfolios and its representatives abide by the CFA Institute Code of Ethics and Standards of Professional Conduct.

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Privacy Policy

Successful Portfolios values and safeguards your privacy.

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Business Continuity Plan

Successful Portfolios has a plan in the event of natural disaster or other emergency.

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