Terms & Policies
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LAST UPDATED: JUNE 25, 2021
SAF Financial Securities LLC is registered with the Securities and Exchange Commission and FINRA as a broker-dealer and is a member of SIPC. We are affiliated with SAF Advisors LLC. an investment advisory firm. Brokerage and investment advisory services and fees differ, and it is important for you to understand the differences.
This document is a summary of the services and fees we offer to Retail Investors which are natural persons who seek or receive securities services primarily for personal, family, or household purposes. Additionally, free and simple tools are available to research firms and financial professionals at Investor.gov/CRS which also provides educational materials about broker-dealers, investment advisers, and investing and brokercheck.finra.org which provides pertinent facts including disciplinary history about member firms and individual registered representatives.
What investment services and advice can you provide me?
We make recommendations and execute the sale of private placement securities, tax shelters and act as a syndicate selling group participant. There may be a minimum investment for the private placement & registered offerings. Please refer to the offering memorandum for specific limitations. We are not obligated to monitor investments.
Key Questions to Ask Your Financial Professional
What fees will I pay?
As an investor you are subject to the commissions, reimbursements and management costs of any offering. All of these fees are outlined within the offering memorandum. As a retail investor you are charged fees on a per transaction basis and therefore the firm may have an incentive to encourage an investor to participate in transactions. All fees and costs are disclosed within the offering materials for each offering.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
Key Question to Ask Your Financial Professional
What are your legal obligations to me when providing recommendations? How else does your firm make money and what conflicts of interest do you have?
When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations, we provide you. Here are some examples to help you understand what this means;
Key Question to Ask Your Financial Professional
For additional information on our conflicts of interest, please see the disclosure on our website.
How do our financial professionals make money?
Our company and the financial professional registered with it, receive commissions for the execution of sales in private placements, non-traded real estate investment trust & RICS. The compensation structure for every offering may be different. For information regarding a specific offering please refer to the offering memorandum.
Do you or your financial professionals have legal or disciplinary history?
No. Disclosures for our firm or our financial professionals can be found by going to Investor.gov/CRS.
Key Questions to Ask Your Financial Professional
You can find additional information about our brokerage services and request a copy of the relationship summary by using the Contact Us form on the website.
Key Questions to Ask Your Financial Professional