Legal Disclosures

As investment advisors, our documentation is available on request, including:

  • Uniform Application for Investment Advisor Registration
  • Investment Advisory and Management Services Agreement
  • Fee Schedule
  • SEC Registration
  • ADV Part II and Schedules

This is not an offer to buy or sell securities. Information or opinions in this website are presented solely for informative purposes, and are not intended nor should they be construed as investment advice. The information provided in 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 which would subject us to any registration requirement within such jurisdiction or country.

Contact us to request copies of our documentation.

Googins Advisors, Inc. has a Business Continuity Plan (BCP) in place to prepare for the possibility of a future significant business disruption (SBD). A SBD may range in severity from a firm only disruption, such as a fire or a power outage, to a regional disruption, such as a natural disaster or a terrorist attack.

In the event of a firm only disruption, Googins Advisors, Inc. has a functional offsite facility locally providing an alternative location from which we can reasonably operate under such a SBD. This facility contains duplicate equipment and telecommunications services, and space for staff to perform critical business functions. Googins Advisors, Inc. expects to be able to resume business within four hours of this type of event. Clients would continue to be able to contact us by phone at (608) 514-1044. Other numbers to call in case the above number is not working are: (608) 843-8350, (312) 342-8207 and (608) 575-4757.

If a larger scale disruption occurs, such as a citywide or regional disruption, Googins Advisors, Inc. will re-establish operations at another site. Googins Advisors, Inc. recovery time frame will depend on the severity and significance of the event.

Googins Advisors, Inc. maintains a relationship with Saxony Securities as well as many mutual fund companies. We fully introduce your accounts to either Saxony Securities or the custodian of the mutual fund company. They, in turn, maintain your account and settle your transactions on your behalf. In the event that you are unable to contact Googins Advisors, Inc. due to an SBD, Saxony Securities may be contacted directly at (314) 963-9336 to process limited trade-related transactions, cash disbursements and security transfers if your account is held there. If your account is held at the mutual fund company, you may call the mutual fund company directly. Please use the number on your statement.

Googins Advisors, Inc.’s Business Continuity Disclosure Statement is subject to modification. Changes to our plan and any updates will be promptly posted to our website: googins.com. Clients may alternatively obtain updated summaries by requesting a written copy by mail.

Privacy Policy

We do not sell personal information, names or lists to anyone.  We never have and we never will.

Googins Advisors, Inc. gathers personal information only to complete applications and keep accurate records of your investments. This information is only available to the companies through which you have accounts and the securities regulators who routinely audit investment firms.  At your request, we will disclose information to other professionals such as attorneys and accountants.

Googins Advisors, Inc. safeguards your information from theft or misuse. Googins Advisors, Inc. will follow this policy even if you close your account or become an inactive client.

Googins Advisors, Inc. will inform you of any changes to this policy in writing. If we ever change our policy to allow us to sell your name, we will first provide simple instructions to opt out if you wish to exclude your name and personal information from being distributed.

Customer Identity Verification

Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We also ask to see your driver’s license or other identifying documents.

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