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Legal Notices


The material on this website is for the general information of our clients and visitors. This website does not constitute an offer to sell or a solicitation of an offer to buy or sell any security or investment product, and may not be relied upon in connection with any offer or sale of securities. Nothing on this website is a recommendation that you purchase, sell or hold any security, or that you pursue any investment style or strategy. Nothing on this website is intended to be, and you should not consider anything on the website to be, investment, accounting, tax or legal advice.

Customer Identification Program

To help the government fight the funding of terrorism and money—laundering activities, and to verify your identity, federal law may require Ultegra Financial Partners to obtain your name, date of birth, address and a government—issued identification number before opening your account. If you are acting on behalf of a corporate entity, we may be required to obtain your name and title, and the corporation’s address and government—issued identification number. In certain circumstances, Ultegra Financial Partners may obtain and verify this information with respect to any person(s) authorized to effect transactions in an account. Your account may be restricted and/or closed if Ultegra Financial Partners cannot verify this information. Ultegra Financial Partners will not be responsible for any losses or damages (including but not limited to lost opportunities) resulting from any failure to provide this information, or from any restriction placed upon, or closing of, your account.

Conflicts of Interest

Ultegra Financial Partners and its affiliates may from time to time engage in activities that are in conflict with their securities customers. The employees of Ultegra Financial Partners, its contract consultants, and its affiliates are bound to the customer’s best interests and are required to notify Ultegra Financial Partners of any possible or potential conflict of interest which may result from their other activities, and may commence such other activities only after the prior, written approval of Ultegra Financial Partners, which may not be unreasonably withheld.

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