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Disclosures

© 2019 Robbins Farley, LLC

Rankings and Recognitions:

Please Note: Limitations: Neither rankings and/or recognition by unaffiliated rating services, publications, media, or other organizations, nor the achievement of any designation or certification, should be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Robbins Farley is engaged, or continues to be engaged, to provide investment advisory services. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers (see link as to participation data/criteria). Unless expressly indicated to the contrary, Robbins Farley did not pay a fee to be included on any such ranking. No ranking or recognition should be construed as a current or past endorsement of Robbins Farley by any of its clients

Qualifications:

 

Union Leader’s 40 Under Forty:

  • Candidates should have already contributed significantly to their field, their community and/or the state and should have the potential to do much more in future years.

  • Nominees must not turn 40 before given deadline.

  • Nominees must have lived in the state for the past three years.

  • Candidates may nominate themselves.

  • Previous winners are not eligible.

  • Past nominations that were not selected can be submitted with updated information.

  • Selections are not final until announced.

  • The number of nominations received for a person has no bearing on the judging process.

  • Additional letters or emails of recommendation will not be accepted.

Five Star Professionals

Required:

1. Credentialed as a registered investment adviser or a registered investment adviser representative.

2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years.

3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony)

4. Fulfilled their firm review based on internal standards

5. Accepting new clients.

Considered:

6. One-year client retention rate

7. Five-year client retention rate

8. Non-institutional discretionary and/or non-discretionary client assets administered

9. Number of client households served

10. Education and professional designations.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.

Leadership Greater Manchester

Those chosen have demonstrated a strong commitment to the Greater Manchester community, have achieved high levels of leadership in their perspective spheres of influence and are capable of assuming greater responsibility in the future as well as making the necessary commitment to attend all the LGM classes.

 

Eligibility Requirement:

To participate in Leadership Greater Manchester, applicant’s business must be a member in good standing with the Greater Manchester Chamber.