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Important Investor Disclosure: Albert Heeg, doing business, as Albert Heeg Investment Management is a Securities and Exchange Commission (SEC) Registered Investment Adviser. This web site is limited to the dissemination of general information pertaining to its investment advisory services, and does not render or offer to render personalized investment advice through this medium. Any direct communication with a prospective client shall be conducted by an associate that is either registered or qualify for an exemption or exclusion from registration in the state where the prospective client resides.
Albert Heeg Investment Management does not make any representations or warranties as to the accuracy, completeness, or relevance of any information prepared by an unaffiliated third party provided, whether linked to Albert Heeg Investment Management’s web site or incorporated herein. The information in this web site is based on data gathered from what Albert Heeg Investment Management believes are reliable sources. It is not purported to be complete and is not intended as the primary basis for investment decisions. It should also not be construed as advice meeting the particular needs of any advisor.
A copy of Albert Heeg Investment Management current SEC Form ADV Part II, which contains a summary of the firms current business operations, services, and fees, is available upon request. A copy of SEC form ADV Part II must be delivered to a prospective client before services can be rendered.
People or firms that get paid to give advice about investing in securities generally must register with either the SEC or the state securities agency where they have their principal place of business. Investment advisers who manage $25 million or more in client assets generally must register with the SEC.
To find out about advisers and whether they are properly registered, read their registration forms, called the “Form ADV.” The Form ADV has two parts. Part I has information about the adviser’s business and whether they’ve had problems with regulators or clients. Part II outlines the adviser’s services, fees, and strategies. Before you hire an investment adviser, always ask for and carefully read both parts of the ADV.
You can view an adviser’s most recent Form ADV online by visiting the newly launched Investment Adviser Public Disclosure (IAPD) website. At present, the IAPD database contains Forms ADV only for SEC registered investment adviser firms that register electronically using the Investment Adviser Registration Depository. In the months ahead, the database will expand to encompass all registered investment advisers-individuals as well as firms-in every state.
You can also get copies of Form ADV for individual advisers and firms from the investment adviser, your state securities regulator, or the SEC, depending on the size of the adviser. You can find out how to get in touch with your state securities regulator through the North American Securities Administrators Association, Inc.’s Web site. If the SEC resisters the investment adviser, you can get the Form ADV at a cost of 24 cents per page (plus postage) from the SEC at:
Office of Public Reference
450 5th Street, NW, Room 1300
Washington, D.C. 20549-0102
Phone: (202) 942-8090
Fax: (202) 628-9001
E-mail: publicinfo@sec.gov
Albert Heeg, when doing business as a Registered Representative of ePlanning Securities, may only transact securities business in a particular state after satisfying qualification requirements of that state, or only if he is excluded or exempted from the state’s requirements, as the case may be; and follow-up, individualized response to consumers in particular state that either the effecting or attempting to effect transactions in securities shall not be made without first complying with the state’s requirements, or pursuant to an applicable state exemption or exclusion.
Albert Heeg Investment Management and ePlanning Securities do not make any representations or warranties as to the accuracy, completeness, or relevance of any information prepared by an unaffiliated third party provided, whether linked to Albert Heeg Investment Management’s web site or incorporated herein. The information in this web site is based on data gathered from what Albert Heeg Investment Management believes are reliable sources. It is not purported to be complete and is not intended as the primary basis for investment decisions. It should also not be construed as advice meeting the particular needs of any advisor.
All references in this web site to investment or composite performance are based on historical data. Past performance does not ensure future results.
For information concerning the licensure status or disciplinary history of Albert Heeg Investment Management and/or ePlanning Securities, a consumer should contact SEC and/or his or her state securities law administrator.
Investment products and services when Albert Heeg does business as a Registered Representative of ePlanning are available only to residents of California.
Important Consumer Information:
A broker/dealer (BD), investment adviser (IA), BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the state’s broker/dealer, investment adviser, or BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state’s broker/dealer, investment adviser, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
Last updated May 10, 2007
Copyright © 2004 Albert Heeg Investment Management. All Rights Reserved.
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