Legal Disclosure
This information on this website is being provided in connection with an actual or potential mandate or engagement and may not be used or relied upon for any purpose other than as specifically contemplated by a written agreement with the Allen, Mooney & Barnes companies. This information on this website is not to be disclosed (in whole or in part), summarized, reprinted, sold, redistributed or otherwise referred to without the prior written consent of the AMB companies.
Allen, Mooney & Barnes Brokerage Services, LLC (“AMBBS”) is a broker/dealer member of FINRA and SIPC. Allen, Mooney & Barnes Investment Advisors, LLC (“AMBIA”) is an investment adviser registered with the U.S. Securities and Exchange Commission.
Information presented on this website is for informational, educational and illustrative purposes only. While the information on this website is from sources believed to be reliable, the AMB companies make no representations or warranties, express or implied, as to whether the information is accurate or complete and assume no responsibility for independent verification of such information. In addition, the analyses on this website are narrowly focused and are not intended to provide a complete analysis of any matter.
Past performance is not necessarily indicative of future performance. Estimates, projections or indications of future performance can be identified by certain statements, such as “believes,” “expects,” “may,” “will,” “should,” “seeks,” “approximately,” “plans,” “estimates” or “anticipates” or the negative of those words or other comparable terminology, as well as by statements concerning projections, future performance, developments, events, revenues, expenses, earnings, run rates and any other guidance on present or future periods. Any such statements are forward-looking in nature and involve risks and uncertainties. Any statements of future performance are based on assumptions that might not be realized and a number of factors, including without limitation, the volatility of the securities markets, the overall environment for interest rates, risks associated with private equity investments, the demand for public offerings, activity in the secondary securities markets, competition among financial services firms for business and personnel, the effect of demand for public offerings, available technologies, the effect of government regulation and of general economic conditions on our own business and on the business in the industry areas on which we focus and the availability of capital to us. We are under no obligation to update the information presented on this website or to inform you if any such information turns out to be inaccurate or misleading.
The information on this website is not, and is not to be construed as, an offer or a solicitation to buy or sell any securities or any other financial instruments or a recommendation or endorsement to engage in or effect any particular investment or transaction. Moreover, under no circumstances should the information on this website be considered legal, tax or accounting advice or relied upon therefore. The recipient is advised to rely on the advice of its own professionals and advisors for such matters and should make an independent analysis and decision regarding any transaction based upon such advice.
The information on this website is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or for any distribution or use that would subject the AMB companies to any registration requirement within such jurisdiction or country.
Rule 606(a) Disclosure
As an introducing firm, Allen, Mooney and Barnes Brokerage Services LLC (“AMBBS”) routes all customer orders to one or more clearing firms for further execution. In doing so, we adopt the clearing firm’s Rule 606(a) Reports by reference. We utilize the following clearing firm(s) for order routing:
Wells Fargo Clearing Services
CRD# 19616
One North Jefferson Avenue
St. Louis, MO 63103
(314) 875-3000
AMBBS acknowledges that our firm adopts Wells Fargo Clearing Services Rule 606(a) Reports by reference. We commit to keeping this information accurate and up to date. If there are any changes to our clearing firm relationships or the disclosure webpage, we will promptly update those details and update the information provided here. If you have additional questions related to our relationship with Wells Fargo Clearing Services and Rule 606(a) reporting, please visit: https://www.wellsfargoadvisors.com/disclosures/legal-disclosures.htm.