Registered Investment Advisors

  1. What is and independent financial advisor and who regulates him?

    The activity of a financial advisor is regulated by the Securities and Exchange Comission (SEC). Its main role is to give financial advice both to individuals and firms in exchange for a fee established by a contractual agreement. The law prohibits these agents to have patrimonial participation or receive payments from financial intermediaries (banks, brokerage houses, etc.), protecting with this the interests of the clients.

  2. How safe are my investments?

    Each client signs an individual contract with the financial authorized intermediary of his preference (bank, brokerage house, etc.). This contract regulates the client’s relation with the intermediary. Sunport Capital, in its role as independent financial adviser, can only make decisions about investment instrument. Cash withdrawals and transfers of securities require the authorization of each client.

  3. How is my relation with Sunport Capital regulated?

    The relation is established through a contract between Sunport Capital and the investor that stipulates the conditions under which the investments with be administered, the advisor’s remuneration, and the intermediary where the investment instruments will be held under custody. This contractual relation does not have minimal duration and can be terminated by any of the parts at any time. Contact us.

  4. What information will I receive about my investments?

    You will also receive a monthly statement of account generated by the authorized financial intermediary. You will also have permanent electronic access to your information via the internet.

  5. Does the independent financial advisor, in this case Sunport Capital, have the authority to request cash and/or securities withdrawals?

    No; Sunport Capital, in its capacity as independent financial advisor, can only make decisions about investment instruments. Any cash withdrawal or transfer of securities requires the client’s previous authorization. Withdrawals can only be deposited into checking or security accounts in the client’s name.