Financial resources group
[PDF File] www.sec.gov
http://5y1.org/file/21514/www-sec-gov.pdf
Opinion on the Financial Statement We have audited the accompanying statement of financial condition of Financial Resources Group Investment Services, LLC (the “Company”) as of December 31, 2021, and the related notes to the financial statement (collectively, the “financial statement”). In our opinion, the financial statement presents …
[PDF File] 2021 AGRI RESOURCES GROUP ANNUAL REPORT
http://5y1.org/file/21514/2021-agri-resources-group-annual-report.pdf
Agri Resources Group points in its consolidated financial statements land for the cultivation of vanilla and spices measured at fair value. Through the long life cycle and harvest cycle a fair value approach according to IFRS respective IAS 41 was not applicable in the previous years.
[PDF File] Account Update Change of Financial Professional (Institution …
http://5y1.org/file/21514/account-update-change-of-financial-professional-institution.pdf
Instructions: Use this form to change the financial professional on brokerage, direct business, and advisory accounts. Please ensure that the Program Manager or Authorized Person from the Institution signs on the Institution's behalf in Section III. Please email the completed form to Rep Maintenance at repimaging.email@lpl.com or fax to (858) 202 …
[PDF File] Microsoft Word - FRGIS BCP 6.2022 - Financial Resources …
http://5y1.org/file/21514/microsoft-word-frgis-bcp-6-2022-financial-resources.pdf
Introduction This manually documents the Business Continuity Plan (“BCP”) for Financial Resources Group Investment Services, (“FRGIS” or the “Firm”). FRGIS is associated with LPL Financial (“LPL”) through an operating agreement whereby Representatives of FRGIS act in a dual capacity of registration with both FRGIS and LPL.
[PDF File] Business Continuity Plan Template for - Financial Resources …
http://5y1.org/file/21514/business-continuity-plan-template-for-financial-resources.pdf
This manually documents the Business Continuity Plan (“BCP”) for Financial Resources Group Investment Services, (“FRGIS” or the “Firm”). FRGIS is associated with LPL Financial (“LPL”) through an operating agreement whereby Representatives of FRGIS act in a dual capacity of registration with both FRGIS and LPL.
[PDF File] Advisor Compliance Manual
http://5y1.org/file/21514/advisor-compliance-manual.pdf
Advisor Compliance Manual Page 4 of 404 Last Updated: 12/29/2023 LPL Financial Member FINRA/SIPC. For broker/dealer use only. Not for distribution to the public
[PDF File] Financial Resources Group Investment Services Business …
http://5y1.org/file/21514/financial-resources-group-investment-services-business.pdf
This manually documents the Business Continuity Plan (“BCP”) for Financial Resources Group Investment Services, (“FRGIS” or the “Firm”). FRGIS is associated with LPL Financial (“LPL”) through an operating agreement whereby Representatives of FRGIS act in a dual capacity of registration with both FRGIS and LPL.
[PDF File] 360 Kingsley Fort Mill, SC - 816-8000 Email: David.Rich ...
http://5y1.org/file/21514/360-kingsley-fort-mill-sc-816-8000-email-david-rich.pdf
Financial Resources Group Investment Services, LLC (CRD# 170845) is a registered investment advisor with the State of South Carolina. Registration of an investment advisor does not imply any certain level of skill or training.
[PDF File] Annual Financial Statements
http://5y1.org/file/21514/annual-financial-statements.pdf
The Group and Company financial . statements were audited in terms of the . Companies Act, No 71 of 2008 as amended. The Group and Company Annual Financial Statements have been prepared by the . MTN finance staff under the guidance of . the Group Finance Executive, S Perumal CA(SA) and were supervised by the Group Chief Financial …
[PDF File] Non-Cash Compensation Log
http://5y1.org/file/21514/non-cash-compensation-log.pdf
Non-Cash Compensation Log Instructions: Advisors and all associated persons must record any gift, occasional meal, or comparable entertainment received/given from/to a client, product sponsor, or Affinity Vendor (Vendor) on the log. The log must be kept current and will be reviewed during your routine audit by LPL compliance personnel …
[PDF File] financialresourcesgroup.net
http://5y1.org/file/21514/financialresourcesgroup-net.pdf
Financial Resources Group Investment Services, is an unaffiliated broker-dealer and member FINRA/SIPC. Gladstone Institutional Advisory LLC, Financial Resources Group Investment Services, and LPL Financial are all separate entities.
[PDF File] FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
http://5y1.org/file/21514/financial-resources-group-investment-services-llc.pdf
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC SEC# 170845 8-69435 Main Office Location Mailing Address Business Telephone Number Doing business as FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC 704-816-8000 360 KINGSLEY PARK DR SUITE 100 FORT MILL, SC 29715 360 KINGSLEY PARK DR …
[PDF File] Virtual Resources Program - Menu of Services
http://5y1.org/file/21514/virtual-resources-program-menu-of-services.pdf
Virtual Resources Program - Menu of Services The service items listed below are in-scope and the Virtual Relationship Specialist (VRS) has the ability to assist with them. We encourage advisors to begin their engagement with their VRS by identifying and focusing on the tasks most important to their practice before moving into optimizing workflows and …
[PDF File] frgisllcpublic2022.pdf
http://5y1.org/file/21514/frgisllcpublic2022-pdf.pdf
Financial Resources Group Investment Services, LLC (the “Company”) is a broker-dealer registered with the Securities and Exchange Commission and is a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
[PDF File] Financial Resources Group Investment Services Business …
http://5y1.org/file/21514/financial-resources-group-investment-services-business.pdf
This manually documents the Business Continuity Plan (“BCP”) for Financial Resources Group Investment Services, (“FRGIS” or the “Firm”). FRGIS is associated with LPL Financial (“LPL”) through an operating agreement whereby Representatives of FRGIS act in a dual capacity of registration with both FRGIS and LPL.
[PDF File] FORM ADV
http://5y1.org/file/21514/form-adv.pdf
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You mus Form ADV General Instruction 4.
[PDF File] 2022 AGRI RESOURCES GROUP ANNUAL REPORT
http://5y1.org/file/21514/2022-agri-resources-group-annual-report.pdf
Agri Resources Group points in its consolidated financial statements land for the cultivation of vanilla and spices measured at fair value. Through the long life cycle and harvest cycle a fair value approach according to IFRS respective IAS 41 was not applicable in the previous years.
[PDF File] Part 2A & B of Form ADV: Firm Brochure
http://5y1.org/file/21514/part-2a-b-of-form-adv-firm-brochure.pdf
ADVISORY PROGRAMS Financial Resources Group provides investment management and financial planning services to our clients. In connection with our investment management services, Financial Resources Group provides advice with respect to a broad range of asset classes, including equities (common stocks and equivalents), …
[PDF File] Written Supervisory Procedures
http://5y1.org/file/21514/written-supervisory-procedures.pdf
LPL Financial Written Supervisory Procedures Page 2 of 802 Last Updated: 12/29/2023 LPL Financial Member FINRA/SIPC. For broker/dealer use only. Not for distribution to the public
[PDF File] Check Receipt Report for Non Local Deposit Program Checks
http://5y1.org/file/21514/check-receipt-report-for-non-local-deposit-program-checks.pdf
Check Receipt Report for Non Local Deposit Program Checks Instructions: Use this form to record checks that have been received in the branch office and forwarded to LPL Financial (through overnight delivery), to a Sponsor, or to a Fund Company.* This form along with copies of all checks received, should be completed daily and kept in a file at branch …
[PDF File] Financial Resources Group Investment Services, LLC
http://5y1.org/file/21514/financial-resources-group-investment-services-llc.pdf
Financial Resources Group Investment Services, LLC Fort Mill, South Carolina Opinion on the Financial Statement We have audited the accompanying statement of financial condition of Financial Resources Group Investment Services, LLC (the “Company”) as of December 31, 2020, and the related notes to the financial statement (collectively, the
[PDF File] Eurasian Resources Group corporate presentation July 2021 EN
http://5y1.org/file/21514/eurasian-resources-group-corporate-presentation-july-2021-en.pdf
Eurasian Resources Group (ERG) is a leading diversified natural resources group with integrated mining, processing, energy, logistics, and marketing operations •Headquartered in the Grand Duchy of Luxembourg, ERG's main shareholder
[PDF File] Policies & Procedures Manual
http://5y1.org/file/21514/policies-procedures-manual.pdf
This Compliance Manual has been developed to introduce you to the policies relating to the Investment Advisory practices of Financial Resources Group Investment Services, LLC (“FRG”, “Firm”, or “Advisor”).
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