Firm Information
Client Relationship and Services
For clients who are about to open or currently hold an investment account with our firm, it is important to understand the your relationship and services offered by our registered representatives and firm. In order to provide details related to our obligations to the retail investor (you), how we make investment recommendations, the products and services we offer, our standards of conduct, how we are compensated, and other details related to our relationship with investors, we have prepared the below documents.
Regulation Best Interest Disclosure Customer Relationship Summary
Privacy Practice
Our firm considers privacy and security of sensitive information of the upmost importance. In additional to sensitive information we may be provided from investment companies related to your account, we requested and you provided us with confidential information at time of account opening. We requested this information and will maintain it while you have an open account with our firm to provide you with quality financial and investment services. Our below privacy statement provides more information about how we use, maintain and keep your information both secure and confidential.
Business Continuity
Should there be a significant business disruption, we have developed the below Business Continuity Plan (BCP) to continue operations. Should we ever need to execute our BCP, we will notify our customers by posting announcement on our website. At this time the firm is operating under normal procedures and we have not executed our BCP.
Affiliated RIA - Tavco Financial Advisory, Inc.
Tavco Financial Advisory, Inc. (TFA) is an affiliated firm of The Tavenner Company. TFA provides fee based, investment advisory services to its' clients. Not all registered representatives of The Tavenner Company are investment advisor representatives of TFA. Select the below link if you would like to review TFA's most recent brochure. Individual supplement brochures are available for TFA's investment advisor representatives, and will be provided upon request.
The above documents are updated as needed, and will remain available for download on this web-page. Should you have any specific question about any of these documents, your account or the firm in general, please do not hesitate to submit inquiry with your financial representative or to the firm directly.