Regulation Best Interest (BI)

Important message for clients:
At Winslow, we believe that the best investor is a well-informed investor. The documents available below explain how we are compensated, potential conflicts of interest, costs and fees associated with our services, and contain additional important information that you should read carefully.

Background:
The Securities and Exchange Commission (“Commission”) adopted Regulation Best Interest, which establishes a new standard of conduct for broker-dealers and their financial representatives when making a recommendation of any securities transaction or investment strategy (including account recommendations) to a retail customer. When making such a recommendation to a retail customer, the broker-dealer and its representatives must act in the retail client’s best interest at the time the recommendation is made, without placing their financial or other interest ahead of the retail customer’s interests.

Winslow is required to deliver Form Client Relationship Summary (Form “CRS”) to retail investors, which includes a brief summary about the firm. The relationship summary is designed to assist retail investors with the process of deciding whether to (i) establish an investment advisory or brokerage relationship, (ii) engage a particular firm or financial professional, or (iii) terminate or switch a relationship or specific service. In addition for Form CRS clients will receive the Regulation Best Interest (Reg BI) disclosure when applicable.

Winslow, Evans & Crocker. Inc (“Winslow”) is registered with the Securities and Exchange Commission (“SEC”) as both a broker-dealer and an investment adviser.

 

Winslow Wealth Management, LLC. (“WWM”) is registered with the Securities and Exchange Commission (“SEC”) as an investment adviser.

 

National Holdings Corporation a publically traded company (NHLD), owns Winslow, Evans & Crocker Inc., Winslow Wealth Management, LLC, National Asset Management (NAM) and National Securities Corporation (NSC). For additional information, please see this entity’s Regulation Best Interest Disclosure page at: www.yournational.com/reg-bi