Disclosures
Suitability Consideration
Legal Issues
Client Relationship Summary (CRS)
ADV Part 2A - Firm Brochure (VAs/VULs/Retirement Plans/Schwab)
Flexible Plan Investments, Ltd. is registered with the United States Securities and Exchange Commission (SEC) as an Investment Advisor and has filed notice as prescribed under the National Securities Markets Improvement Act of 1996 as a Federal Covered Advisor in the States and/or Territories of:
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
Important Consumer Information:
1) A broker-dealer, investment adviser, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the state's broker-dealer, investment adviser, BD agent or IA rep requirements, as the case may be; and
2) Follow-up individualized responses to consumers in a particular state by broker-dealer, investment adviser, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker-dealer, investment adviser, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
3) For information concerning the licensure status or disciplinary history of a broker-dealer, investment adviser, BD agent or IA rep, a consumer should contact his or her state securities law administrator.
Past Performance Does Not Guarantee Results
Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding year is available upon written request
Privacy Notice – Effective June 1, 2014
The following notice is furnished to Clients and prospective Clients in compliance with SEC Regulation S-P:
Flexible Plan Investments, Ltd. collects nonpublic personal information about Client or prospective clients from the following sources:
(1) Information received from Client on applications, contracts or other forms;
(2) Information about Client account transactions with us or others; and
(3) personal data provided when using our websites.
We do not disclose any nonpublic personal information to anyone, except to Client’s Agents or as permitted by law. (We may disclose information in order to cooperate with legal authorities or to protect our rights and interest.) If Client decides to close accounts or otherwise become an inactive Client, we will adhere to the privacy policies and practices as described in this notice. Flexible Plan Investments, Ltd. restricts access to Client personal and account information to those employees who need to know that information to provide products or services to Client. Flexible Plan Investments, Ltd. maintains physical, electronic and procedural safeguards to guard Client nonpublic personal information. However, in this age where perfect cyber-security is impossible, Flexible Plan Investments, Ltd. cannot guarantee that the substantial safeguards taken will protect such information from all possible attempts to secure such information.
Flexible Plan Investments, Ltd. does not currently respond or otherwise take any action with regard to Do Not Track requests.
Note: This site may contain links to other websites, and this Privacy Notice does not apply to those sites.
For California Residents