When financial advisors have events in their practice that could influence their ability to advise clients, they’re required to disclose those events to regulators. Such disclosure event filings can include certain criminal and civil matters, regulatory actions against them, customer complaints or instances of arbitration or termination of employment. The existence of such filings may not result in censure or penalty for an advisor and customer complaints against advisors may be frivolous. Also, such filings may not represent all regulatory or legal actions against a firm or advisor. For more detailed information on George Click’s conduct, please visit Finra’s , the SEC’s , or your state’s regulatory agencies.
Client types are by firm, and represent a percentage of assets under management. For additional information on George Click’s client base, please contact the advisor.