Private Placement Risk Factors

Private placements are subject to U.S. securities laws and regulations. Private placements have extensive risks and are speculative in nature. Therefore, it is important that anyone considering participating in a private placement offering understand the risks associated with such offerings.

Specific risk factors for a private placement will be stated in its private placement memorandum. It is important that anyone considering investing in a private placement fully review and understand the risks associated with such offering. Individuals considering private placement offerings should consult appropriate legal, tax or other professional advice prior to making investment decisions. 

Typical risk factors include, but are not limited to, the following:

• Investors may lose their entire investment and may include additional costs and fees
• Returns are not guaranteed
• Return of investment capital is not guaranteed and may not have rights of redemption
• Investments may not be transferable or may have limited transferability
• Securities may be illiquid especially private, micro, small & mid cap companies.
• Investments may involve businesses with limited or no operating history
• Investments may be subordinate to other securities and obligations
• Investments may not be secured by any other assets.

Nothing contained in this website should be considered a solicitation for the purchase or sale of any security. The information contained herein is for informational purposes only.

FINRA Website and BrokerCheck

Pursuant to Consolidated FINRA Rule 2267, the Company is required to provide the following information to our customers:

• §  FINRA BrokerCheck Hotline Number: (800) 289-9999
•  FINRA Website Address: www.FINRA.org 
• FINRA BrokerCheck Address: https://brokercheck.finra.org/