CFS/SPF Disclosures:
Non-deposit investment products and services are offered through CUSO Financial Services, LP (“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 CFS Disclosures and SPF Disclosures.
CFS Regulation Best Interest Disclosures
CFS Client Relationship Summary (CRS)
CFS Brokerage Services Disclosure Summary (BSDS)
SPF Regulation Best Interest Disclosures
SPF Client Relationship Summary (CRS)
SPF Brokerage Services Disclosure Summary (BSDS)
Form ADV
CFS Form ADV Part 2A
CFS Form ADV Part 2A, Appendix 1
SPF Form ADV Part 2A
SPF Form ADV Part 2A, Appendix 1
Additional Disclosures
Third-Party Compensation Disclosure
Investment Product and Services Overview
Dreyfus Insured Deposit Program (DIDP) Rate
Dreyfus Insured Deposit Program (DIDP) Disclosure
Dreyfus Insured Deposit Program LF (DILF) Rate
Dreyfus Insured Deposit Program LF (DILF) Disclosure
CFS Sweep Program Terms & Conditions
SPF Sweep Program Terms & Conditions
Characteristics and Risks of Standardized Options
Retirement Custodial Agreements
Traditional IRA Custodial Account Agreement
SIMPLE IRA Custodial Account Agreement
Roth IRA Custodial Account Agreement
Coverdell Education Savings Account
If you have any questions, you may contact our Legal and Compliance Department at (858) 805-7900.
