Regulatory Disclosures

Our Compliance Obligation

Our first priority is helping you take care of yourself and your family. It is also the priority of our regulators.  As a Florida regulated Registered Investment Advisor, Hayden Lipp Financial Services is periodically audited, and its financial records are assessed annually. The firm passed it latest audit. 

We encourage you to check our history via the Broker Check button on the web site. It will connect you to the FINRA website, where you can research our background.

There are two very important documents which must be filed annually. One is called the ADV Part 2. It details our fee structure, potential conflicts of interest, working relationships with clients and brokerages, our privacy statement and business continuity plan, among other issues. This is distributed to clients with each annual renewal. You may access it here: ADV 2023

The second important document is a new SEC disclosure (as of June 30, 2020). It is a plain English, two-page summary, of information in the ADV Part 2 and additional required disclosures. It is the Form CRS Client Relationship Summary. You may access the most recent update here:  CRS 2022

Additionally, since we may also act as Registered Representatives of Fortune Financial Services, Inc, you should also access their CRS Form here: crs_form_8_-2023

Although the terminology of these disclosures can be obtuse, the information is vital to our making an educated choice of advisor. Every Registered Investment Adviser or Registered Representative is required to have this disclosure. If you feel you need more information, or clarifications, please contact us.