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We want you to understand how we run our business, the steps we take to protect your information and the ways in which we may be compensated for the services we offer and the products we recommend.

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What is Form CRS?

Form CRS is designed to help retail investors better understand the nature of the relationship and what services they can expect from a financial firm and its individual professionals, primarily in terms of a fee-based account with an investment adviser, a transaction-based account with a broker-dealer, and the significance, roles, and duties of an investment advisory representative versus those of a registered representative.

In June 2019, the SEC adopted requirements (SEC Release 34-86032) for registered investment advisers, broker-dealers, and dual-registrants that do business with retail investors to file Form CRS (customer relationship summary). Form CRS is intended to inform retail investors about:

  • The types of client/customer relationships and services the firm offers;

  • Fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services;

  • Whether the firm and its financial professionals currently have reportable legal or disciplinary history;

  • How to obtain additional information about the firm.

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We believe transparency and trust go hand-in-hand. 

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265 Racine Drive, Suite 204
Wilmington, North Carolina 28403

Phone: 919.580.3177

info@dental401k.com

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Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.  

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Securities offered through appropriately registered representatives of The Strategic Financial Alliance, Inc. (SFA), Member FINRA, SIPC. Advisory Services offered through appropriately registered Investment Adviser Representatives ("IARs") of Allegiance Financial Group Advisory Services, LLC (AFGAS). AFGAS is unaffiliated with SFA. Supervising office: 678.954.4000. We currently have advisors registered in the following states: AZ, CA, CO, D.C., DE, FL, GA, IL, KS, MA, ME, MD, NH, NC, NJ, NY, RI, SC, OH, OK, TN, TX, VA, WA, WI, and WV. This is not an offer to sell or solicit securities in any other state or jurisdiction.

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Investment management services for the Dental 401(k) Pooled Employer Plan are provided by Buckingham Retirement Solutions. Plan administration provided by Newport Group. These entities are separate and otherwise unaffiliated with Allegiance Financial Group Advisor Services LLC (AFGAS) and The Strategic Financial Alliance, Inc. 

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COMPLIANCE | FORM CRS

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