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Regulatory Compliance Information
Jung Financial Planning. Ltd. is a registered investment advisor with the Ohio Department of Commerce / Division of Securities. We are not limited to Ohio, as we will register with other states when our client count in any particular state meets registration requirements. Jung Financial Planning. Ltd. renders individualized responses to persons in a particular state only after complying with the state's regulatory requirements, or pursuant to an applicable state exemption or exclusion.
In conjunction with each financial planning engagement or investment management agreement, a copy of Form ADV, Part II, must be delivered to the Client; alternatively, a "brochure" containing the same material information may be provided.
This web site provides general information about Jung Financial Planning. Ltd. and is not intended to offer investment or financial planning advice through the Internet. This site offers a medium for you to read about our approach, to learn about our services and to be able to contact us for further information.
Jung Financial Planning. Ltd. is allowed to transact business only in states in which we are registered, as cited above, or in which we are excluded or exempted from registration. We must also be registered or exempted or excluded from registration in any state in which we follow up on individualized responses to persons in that State that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation.
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