Gerstein Fisher | Legal Disclosure

Disclosure Statements for Gerstein Fisher:

Investment advisory services are provided by People’s Securities, Inc. doing business as Gerstein Fisher (“Gerstein Fisher”), an SEC registered investment advisor. Advisory services are subject to advisory fees as disclosed on Form ADV.

Please Note: Advisory Fee Calculation: Gerstein Fisher remains prepared to provide you with a description of how your advisory fee was calculated, or any questions that you may have regarding your fee.

Securities are offered through People’s Securities, Inc. in its capacity as broker-dealer, and are subject to commissions and/or fees.

Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended or undertaken by Gerstein Fisher) or product made reference to directly or indirectly by Gerstein Fisher in its web site, or indirectly via a link to an unaffiliated third party web site, will be profitable or equal the corresponding indicated performance level(s). Different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment, investment strategy, or product (including the investments and/or investment strategies recommended or undertaken by Gerstein Fisher), or any non-investment related content, made reference to directly or indirectly on this site will either be suitable or profitable for a client or prospective client’s investment portfolio. Historical performance results for investment indices and/or categories generally do not reflect the deduction of transaction and/or custodial charges, the deduction of an investment management fee, or the impact of taxes, the incurrence of which would have the effect of decreasing historical performance results.

Certain portions of Gerstein Fisher‘s web site (i.e. blog, newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Gerstein Fisher‘s (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 Gerstein Fisher, or from any other investment professional. Gerstein Fisher is neither an attorney nor 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 Gerstein Fisher is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Gerstein Fisher 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 device contained within or linked to Gerstein Fisher‘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 Gerstein Fisher, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to Gerstein Fisher‘s web site, to release and hold harmless Gerstein Fisher, 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 Gerstein Fisher.

TERMS AND CONDITIONS

Gerstein Fisher and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Gerstein Fisher maintains clients. Gerstein Fisher may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Gerstein Fisher‘s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Gerstein Fisher‘s web site on the Internet should not be construed by any consumer and/or prospective client as Gerstein Fisher‘s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Gerstein Fisher with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Gerstein Fisher, please contact the SEC or the state securities regulators for those states in which Gerstein Fisher maintains a notice filing. A copy of Gerstein Fisher‘s current written disclosure statement discussing Gerstein Fisher‘s business operations, services, and fees is available on www.gersteinfisher.com. In addition, certain of Gerstein Fisher‘s investment adviser representatives are also, in their individual capacities, registered representatives of People’s Securities, Inc., in its capacity as broker-dealer which is registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority (‘FINRA’). Accordingly, those investment adviser representatives of Gerstein Fisher who are also registered representatives of People’s Securities, Inc., in its capacity as broker-dealer, may, in their individual capacities, effect securities transactions for public customers on a fully disclosed commission basis in those states in which both People’s Securities, Inc., in its capacity as broker-dealer, and the specific representative is registered, or qualify(ies) for an exemption or exclusion from registration requirements. For information pertaining to the registration status and/or disciplinary history of People’s Securities, Inc., in its capacity as broker-dealer, or any Gerstein Fisher investment adviser representative that also serves as a representative of People’s Securities, Inc., in its capacity as broker-dealer, please visit FINRA at www.finra.org and/or state securities law administrators for those states in which People’s Securities, Inc., in its capacity as broker-dealer, and/or the specific representative maintain a registration filing.

Gerstein Fisher 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 Gerstein Fisher‘s web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

 

 

 

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