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Insider Trading Attestation and Request Form

It is the policy of TWP that employees are NOT to trade stocks of companies where the firm has a client relationship with a high level manager or executive who may potentially provide us with inside information. A list of applicable stocks can be requested from the Chief Compliance Officer (CCO) at any point, but will be provided to you anytime this information is requested. Any purchase of listed stocks must have prior written approval from the firm CCO before purchase or sale can occur. In order to comply with SEC insider trading rules, TWP must know of any and all investment accounts that you, your spouse or children, maintain. Please complete the following fields for the previous quarter.


Describe Your Accounts:
select
If you answered # 3 above, please complete the following:
If you have invested securities outside Schwab, please describe below and attach monthly statements for the date range requested.
Account Number:
Account Title:
Account Type:
Type of Securities Held:
(For any non Schwab accounts, you must upload statements to Sharefile)
Attestation:
I confirm the above disclosure is correct and will provide trade away investment statements as requested by the firm CCO.
Name:
Date:

 

INVESTMENT
MANAGEMENT

Your investment philosophy should be grounded in academic research and financial science. Our team will build you an investment portfolio that aims to give you the highest probability of achieving your goals with the least amount of risk.

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RETIREMENT AND
TAX PLANNING

Figuring out how to recreate your paycheck or developing a spending policy should not be an overwhelming exercise. Our team has the expertise to help with retirement portfolio, tax strategies, distribution planning, social security maximization strategies and more.

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HOLISTIC/COMPREHENSIVE
PLANNING

We’ll have discovery conversations, gather and organize your data, then craft comprehensive plans to achieve your life and financial goals. As our ongoing commitment, we consistently monitor and tweak your plan to ensure you’re on track and surprises are minimized.

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WE'VE BEEN LISTENING
FOR OVER 25 YEARS

Life brings many transitions. Find the right advisor to fit your needs on a fee-only basis, and take the first step in the journey. Total Wealth Planning's team of Certified Financial Planners® guides Cincinnati families and associates through transition.


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4665 Cornell Rd. Suite 160, Cincinnati, OH 45241 4665 Cornell Rd. Suite 160, Cincinnati, OH 45241
513-984-6696 513-984-6696
info@twpteam.com info@twpteam.com
Total Wealth Planning named finalist in Cincinnati Business Courier's 2-10 Best Places to work!
Monday, September 16, 2019


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