What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Heather is the owner/member manager at Spot On Roofing & Solar LLC, a roof replacement company, since January 2020. She handles Quickbooks for the company, dedicating a few hours per week.