Broker-Dealer Disclosures.pdf

Realized Financial, Inc. provides disclosures to retail broker-dealer clients, enhancing transparency of their relationship by disclosing conflicts of interest connected with recommendations and services. The firm is a broker-dealer registered with the SEC and member of FINRA, offering private placements in all 50 states. Realized Financial's financial professionals offer BD account services, investment advisory services, or both, with compensation structures that may create conflicts of interest. The disclosure contains information about business practices, compensation, and conflicts of interest related to the BD business, and clients can find additional information in Form CRS and Form ADV 2A. Key points include:

Regulation Best Interest obligations apply only when recommending a type of account, securities transaction, or investment strategy
No ongoing monitoring of BD accounts, but advisory accounts receive ongoing monitoring
Compensation structures, including transaction-based commissions and fee-based advisory services, may create conflicts of interest
Clients should consider and understand the disclosure information, including the firm's business practices and compensation structures.