ADV Part 2A – Focus Financial Network, Inc.
Investment advisory, insurance and financial planning services offered through Focus Financial Network, Inc. Securities offered through Osaic Wealth, Inc. member FINRA/SIPC. Osaic Wealth is separately owned and other entities and/or marketing names, products or services mentioned here are independent of Osaic Wealth. Osaic Wealth does not provide tax or legal advice.
Osaic Wealth Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states (registrations vary by individual representative): AL, AK, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NY, NV, NC, ND, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY.
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I am an expert in the field of financial planning and investment advisory services, and I can provide valuable insights into the concepts mentioned in the article about ADV Part 2A for Focus Financial Network, Inc. and Osaic Wealth, Inc. To demonstrate my expertise, I'd like to break down the key concepts and provide information related to each of them.
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Focus Financial Network, Inc.:
- Focus Financial Network, Inc. appears to be an entity that offers investment advisory, insurance, and financial planning services. Based on the information provided, it is essential to understand that this company likely assists clients in managing their investments, making financial plans, and possibly providing insurance solutions.
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Osaic Wealth, Inc.:
- Osaic Wealth, Inc. is mentioned as an entity that offers securities. It's also a member of FINRA (Financial Industry Regulatory Authority) and SIPC (Securities Investor Protection Corporation). This indicates that Osaic Wealth is involved in the buying and selling of securities and adheres to regulatory standards set by FINRA and SIPC.
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FINRA (Financial Industry Regulatory Authority):
- FINRA is a self-regulatory organization that oversees the securities industry. It sets rules and regulations for brokerage firms and ensures that they operate ethically and within the bounds of the law.
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SIPC (Securities Investor Protection Corporation):
- SIPC is a non-profit organization established to protect investors in the event of brokerage firm insolvency or wrongdoing. It provides insurance coverage for eligible securities up to a certain limit.
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Tax and Legal Advice:
- The article mentions that Osaic Wealth does not provide tax or legal advice. This is a crucial distinction, as investment advisors often focus on financial planning and securities, but not on tax or legal matters. Clients seeking tax or legal advice should consult appropriate professionals.
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Registered Representatives:
- The article mentions that Osaic Wealth Registered Representatives associated with the site may only discuss and/or transact securities business with residents of specific states. This indicates that there are regulatory requirements and restrictions on where Osaic Wealth representatives can conduct securities-related activities.
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Disclaimer and Risk Disclosure:
- The article includes a disclaimer regarding external websites and advises users that they assume total responsibility and risk when accessing linked websites. This is a common disclaimer to inform users that the website owner is not responsible for the content or accuracy of external sites.
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State Registrations:
- The article lists the states in which Osaic Wealth's Registered Representatives are registered to conduct securities business. This is important information for potential clients as it defines the geographic scope of their services.
In conclusion, the article discusses key concepts related to investment advisory services, securities, regulatory bodies, and the limitations of services provided by Focus Financial Network, Inc. and Osaic Wealth, Inc. It's crucial for individuals seeking financial advice to understand these concepts and consider their implications when making investment decisions.
