It is the policy of ProVise to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in order to provide products or services in furtherance of the client’s engagement of ProVise. In that regard, ProVise may disclose the client’s information: (1) to individuals and/or entities not affiliated with ProVise, including, but not limited to the client’s other professional advisors and/or certain service providers that may be recommended or engaged by ProVise in furtherance of the client’s engagement of ProVise (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, proxy management service provider, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations. The disclosure of information contained in any document completed by the client for processing and/or transmittal by ProVise to facilitate the commencement/continuation/termination of a business relationship between the client and/or between ProVise and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client’s engagement of ProVise (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.
Should you have any questions regarding the above, please contact V. Raymond Ferrara, CFP® Chief Compliance Officer.
ProVise does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to ProVise web site 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.
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 ProVise), will be profitable or equal any historical performance level(s).
Certain portions of ProVise’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, ProVise (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 ProVise, or from any other investment professional. ProVise is neither an attorney nor an accountant, and no portion of the web site 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 ProVise is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of ProVise 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 interactive device contained within or linked to ProVise’s web site, the client and/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 a substitute for, personalized individual advice from ProVise, or from any other investment professional.
Each client and prospective client agrees, as a condition precedent to his/her/its access to ProVise’s web site, to release and hold harmless ProVise, its officers, directors, owners, 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 ProVise.
Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA/SIPC. Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS, or ProVise Management Group, LLC. Kestra IS and Kestra AS are affiliated with ProVise Management Group, LLC.
This site is published for residents of the United States only. Registered Representatives of Kestra IS, Investment Adviser Representatives of Kestra AS and Investment Adviser Representatives of PROVISE MANAGEMENT GROUP, LLC may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed. Not all of the products and services referenced on this site are available in every state and through every representative or advisor listed. Neither Kestra Investment Services, LLC nor its affiliates provide legal or tax advice and are not Certified Public Accounting Firms. For additional information, please contact our Compliance department at 737-443-2582.