Disclosures

Securities are offered through Thurston Springer Financial, a registered Broker-Dealer (Member FINRA, MSRB & SIPC).

• www.finra.org
• www.msrb.org
• www.spic.org

Investment advisory services are offered through Thurston Springer Advisors, a SEC-Registered Investment Adviser.

• www.sec.gov

Insurance products are offered through Thurston Springer Financial and/or Thurston Springer Insurance, both Indiana Insurance Agencies.

Other Income

Some of the mutual funds and annuity companies that we recommend to clients make payments to broker-dealers. Such payments may be distributed pursuant to a distribution plan adopted under Rule 12b-1 under the Investment Company Act of 1940, as amended, or pursuant to another arrangement such as marketing support. Because of these compensation arrangements, a conflict of interest may exist regarding the recommendation of particular investments for client accounts. However, Thurston Springer intends to fully comply with those standards of fiduciary duty that require it act solely in the clients’ best interests when making investment recommendations.

New Account Opening Procedure

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account.

When you open an account, we will ask for the following:

• Name
• Address
• Date of Birth
• Driver’s License
• Other Identifying Documents

Read the complete Customer Identification Program notice here.

Additional Disclosure Resources

• Privacy Policy, Business Continuity Plan, and Customer Identification Program
• MSRB Rule G-10 Notice
• Financial Client Relationship Summary
• Advisor Client Relationship Summary
• Regulation Best Interest Disclosure
• Form ADV Part 2A
• SEC Rule 606