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Investment Disclosure Communication

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The following investment disclosures provide important information on a variety of investment and account related topics.  Click on each topic to read the full disclosure   

Account Agreement and Disclosures

Annual Disclosure Statement Regarding Partially Called Bonds

Annuity Disclosure

 

Form ADV Part 2

How SIPC Protects Investors

 

Important Information About Opening a New Account

 

Inverse or Leveraged Exchange Traded Funds (ETFs) Disclosure

 

Margin Disclosure

 

Market Volatility Disclosure

 

Money Market Disclosure

 

Mutual Fund Disclosure

 

Order Routing & Execution Disclosure


Partially Called Bond Lottery Process

 

Schedule of Account Service Charges 

 

ERISA Section 408(b)(2) Notice Disclosures


Annual Disclosure Statement Regarding Partially Called Bonds
Janney is providing this disclosure to inform you of the basic processing applied by Janney regarding the impartial lottery process for callable bonds. 



Annuity Disclosure
   

Janney wants every investor to be fully informed prior to their annuity purchase. This disclosure provides information on the features and benefits of the most common types of annuities and information on risks and how your Janney Financial Advisor is compensated for annuity sales.

 


 

 

Form ADV Part 2      

These regulatory disclosures contain information about the investment advisory services offered by Janney Montgomery Scott LLC, including a description of investment management programs, program fees, and other disclosure information.

 


 
How SIPC Protects Investors       

The Securities Investor Protection Corporation (SIPC) is a non-profit United States government sponsored agency designed to help investors in the event of a brokerage firm failure. By investing with a firm that is a member of the SIPC, like Janney, a client is protected in the event the firm should ever fail.

 


 

Important Information About Opening a New Account             

To help the Government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

 


 

Inverse or Leveraged Exchange Traded Funds (ETFs) Disclosure      

Inverse or Leveraged Exchange Traded Funds (ETFs) are complex investment products that carry risks that are not suited for conservative investing. Janney has created this Guide to Understanding Inverse and Leveraged Exchange Traded Funds to assist investors in understanding the features of these products.

  



Margin Disclosure     

Janney Montgomery Scott LLC (Janney) is furnishing this information to you to provide some basic facts about purchasing securities on margin and to alert you to the risks involved with trading securities in a margin account.  Before trading securities in a margin account, you should carefully review the margin agreement provided by Janney. Consult your Financial Advisor or contact Janney regarding any questions or concerns you may have about margin accounts.

 


 

Market Volatility Disclosure         

High volumes of trading at market opening and at various points during the day may cause delays in execution and executions at prices significantly away from the market price quoted or displayed at the time the order was entered.

 


 

Money Market Disclosure           

Learn more about the money market funds which Janney offers including associated fees and risks.

 



Mutual Fund Disclosure     

Janney wants our clients to understand the features, options and risks of each investment vehicle they consider. This disclosure statement explains certain options and features which are common to most mutual funds.

 



Order Routing & Execution Disclosure     

The Securities and Exchange Commission has recently adopted two rules to enhance the visibility of execution quality of the U.S. securities markets for public investors.

    


 

Partially Called Bond Lottery Process

Click the link above to read a brief description of the steps taken to determine which accounts are called for redemption for a partially called bond.

 


  

 

Schedule of Account Service Charges              

Janney publishes this Schedule as an overview of the most common charges that may be applied to client accounts. For additional information, please contact your Financial Advisor.