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.
Carlos is an insurance agent with Columbia Financial Group since 2020 and a sole proprietor insurance agent since 2022. Each role requires about 10-20% of his time, with a few hours per week occurring during trading hours.