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.
CFS Regulation Best Interest Disclosures
SPF Regulation Best Interest Disclosures
Retirement Custodial Agreements
If you have any questions, you may contact our Legal and Compliance Department at (858) 805-7900.