CFS/SPF Disclosures:
Non-deposit investment products and services are offered through CUSO Financial Services, L.P. (“CFS”) or Sorrento Pacific Financial, LLC ("SPF"), registered broker-dealers (Member FINRA (www.finra.org) / SIPC (www.sipc.org)) and SEC Registered Investment Advisors. Products offered through CFS and SPF: are not federally insured, are not guarantees or obligations of banks or credit unions, and may involve investment risk including possible loss of principal. Investment Representatives are registered through CFS or SPF. Credit Unions and Banks have contracted with CFS and SPF to make non-deposit investment products and services available to credit union members and bank customers.
CFS/SPF policies and procedures do NOT permit any CFS/SPF registered individual to accept a check from a client that is made payable to the representative or to their business entity for any investment purposes. The only exception to this is for payment of financial planning fees to an approved Registered Investment Advisor.
Please see other important disclosures located at www.CFSdisclosure.com and www.SPFdisclosure.com.
If you have any questions, you may contact our Legal and Compliance Department at (858) 805-7900.
CFS SEC ADV Filing Extension
CUSO Financial Services, CRD# 42132, SEC# 801-60300, will not be filing its Form ADV amendment by March 30 or delivering it by April 30 and relying on the SEC IAA Release No. 5463 of Friday, March 13, 2020 for this extension. Due to the Covid-19 virus, critical staff for gathering information for the filing are focused on client servicing and contingency plan execution. We expect to be able to file accurate information by April 30, 2020 and to deliver required information to our clients by May 30, 2020.
SPF SEC ADV Filing Extension
Sorrento Pacific Financial, LLC, CRD# 127787, SEC# 801-70354, will not be filing its Form ADV amendment by March 30 or delivering it by April 30 and relying on the SEC IAA Release No. 5463 of Friday, March 13, 2020 for this extension. Due to the Covid-19 virus, critical staff for gathering information for the filing are focused on client servicing and contingency plan execution. We expect to be able to file accurate information by April 30, 2020 and to deliver required information to our clients by May 30, 2020.
Trademarks
The following are registered trademarks of CUSO Financial Services, L.P., and registered in the United States of America. They are licensed with permission by Sorrento Pacific Financial, LLC.
- eVISION®
- dataVISION®
- MyVISION®
- CUSO Financial Services, LP® and mark
