Compliance Disclosure

Image of Confidential Document with Glasses and Quill PenChelsea Account Fee Disclosure [pdf]
Chelsea Privacy Notice [pdf]
Business Continuity Plan [pdf]

The SEC's Regulation Best Interest (Reg BI) under the Securities Exchange Act of 1934 establishes a "best interest" standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts. As part of the rulemaking package, the SEC also adopted new rules and forms to require Broker-Dealers and investment advisers to provide a brief relationship summary, Form CRS.  Broker-Dealers are also required to provide the more detailed disclosures found in the Reg BI Disclosure booklet, while Investment Advisors are required to provide their FORM ADV. Chelsea separately requires the Form CRS Client Acknowledgement Letter to be signed and returned with all new account applications indicating clients have received the aforementioned disclosures.

As part of the rulemaking package, the SEC also adopted new rules and forms to require broker-dealers and investment advisers to provide their clients a brief relationship summary, Form CRS, and the more detailed disclosures found in the Reg BI Disclosure booklet.

After reviewing the above linked pdf documents, please contact Chelsea Financial Services for more complete information regarding the features and benefits of Chelsea Financial Services, including fees and expenses.

An investment's share price and investment return will vary with market conditions, and the principal value of an investment when you sell your shares may be more or less than the original cost.

The information provided in this website should not be considered legal/tax advice. You should consult a qualified tax, legal or financial advisor to discuss your specific tax situation.

Confidential or time-sensitive security-related communications should not be transmitted to Chelsea Financial Services via the Internet as there can be no assurance of actual or timely delivery, receipt and/or confidentiality. Neither can there be any assurance that messages transmitted by electronic mail will not be corrupted, lost, deleted or modified.

Chelsea Financial Services reserves the right to refrain from processing or executing instructions received via electronic mail until verification of the information is obtained in another format acceptable to Chelsea Financial Services.

Neither the information nor any opinion expressed constitutes a solicitation for the purchase or sale of any securities.

Municipal Securities Rulemaking Board (MSRB) Investor Information

Chelsea Financial Services is registered with the Municipal Securities Rulemaking Board (MSRB) and the U.S. Securities and Exchange Commission. The website address of MSRB is msrb.org. An investor brochure that describes the protections that may be provided by MSRB’s rules and how to file a complaint with an appropriate regulatory authority can be found at MSRB’s website, at http://msrb.org/~/media/Files/Resources/MSRB-Investor-Brochure.ashx?la=e