Katherine Nixon is a representative of J.W. Cole Financial, Inc., Member FINRA, SIPC, and an Investment
Advisory Representative of J.W. Cole Advisors, Inc. Katherine Nixon is an independent insurance agent.
As a registered representative, investment advisor
representative, and insurance agent, Katherine Nixon will receive compensation for the sale of investment securities, fee-based
asset management services, and insurance contracts from the aforementioned entities. The amount of compensation will vary depending upon the particular financial product and based on the
amount invested. Total compensation for investment company
securities is full disclosed in the prospectus of each product. Some investment securities and insurance
contracts pay compensation after the first year of sale. For stocks, bonds, and other securities, the commission
will be disclosed via a schedule, mutual agreement, or listed as a dollar amount on the initial agreement. The
fee-based asset management compensation is fully disclosed in the advisory contract we will enter into before establishing
such an account.
is the client’s responsibility to inform the representative, Katherine Nixon, of any family or wealth changes that would
impact either the risk level acceptable to them, or their time frame for their investments.
guarantees have been or can be made as to the results of a client’s portfolio.
- Investments are not insured and will change in value and can lose value.
- Each client must review their portfolio choices and decide that it is appropriate
for their selected risk and investment tolerances.
is their responsibility to review statements & initiate any changes.
- Katherine will give you a receipt of this disclosure and a prospectus for investment company securities.
She will be happy to discuss your investment account and her commissions and fees with
you at any time.
It is important to understand these and other facts about investment accounts and the commissions that are earned
on your financial transactions.