Disclosure
The information contained in this website is not a complete analysis of every material fact with respect to any market, company, industry, security or investment. Opinions expressed are subject to change without notice. Recommendations provided by our Representatives are based on the financial, investment objective and risk tolerance information provided to them by their clients. Statements of fact have been obtained from sources considered reliable but no representation is made by Gardner Financial Services, Inc. (GFS) or any Registered Representative of the company as to completeness or accuracy. Nothing communicated in this website should be construed as an offer to buy or sell, or solicitation of an offer to buy or sell any securities. Gardner Financial Service, Inc. is not registered in all states, nor in any international jurisdictions. This information is not to be construed as a solicitation in any such states or jurisdictions where GFS is not duly entitled to do so. Any responses received by GFS, as a result of this information being available on this web site, will be screened to assure compliance with regulations. USA Patriot Act Customer Identification Program Notice Important information you need to know about opening a new account. To help the government fight the funding of terrorism and money laundering activities, Federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account. This notice answers some questions about your firms Customer Identification Program. What types of information will I need to provide? When you open an account, your firm is required to collect information such as the following from you:
- Your name
- Date of Birth
- Address
- Identification Number
- U.S. Citizen: taxpayer identification number (social security number or employer identification number)
- Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.
You will also need to provide a copy of your driver's license or other identifying documents. A corporation, partnership, trust or other legal entity will need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement. U.S. Department of the Treasury, Securities and Exchange Commission and FINRA rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. What happens if I don't provide the information requested or my identity can't be verified? Our firm may not be able to open an account or carry out transactions for you. If our firm has already opened an account for you, we may have to close it. Click the following link for a printable copy and additional information: US Patriot Act. GFS Business Continuity Plan Notice Gardner Financial Services, Inc. (GFS) has developed a Business Continuity Plan that may be activated in the event of a significant business disruption. The firm realizes the critical nature of being able to continue material operation if an incident occurs that could affect mission-critical business units and systems. These plans are key components in maintaining emergency procedures, and are required by securities industry regulations. Contacting Us - If after a significant business disruption, you cannot contact us as you usually do at 952-935-4601, you should call our alternative number 763-473-2619 or go to our website at www.gardnerfinancialmn.com for instructions. If you cannot access us through either of those means, contact our clearing firm, RBC CS at 1-866-506-8595. Varying Disruptions - Significant business disruptions can vary in their scope, such as those only affecting our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. Our firm's plans are intended to permit the continuation of key business operations during most types of disruptions by resuming mission-critical operations, usually within the same business day as the disruption. To assist this business continuity, the firm maintains back-up processing capabilities in an alternate location. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities. Clients should be aware that because the firm's plans contain details of a confidential and proprietary nature, they cannot be distributed to the public. Clients should also note that our business continuity plan is subject to modification, and that updated plans will be promptly posted on our website, as permitted by applicable law. For more information - If you have questions about our business continuity planning, you can contact us at 952-935-4601. Click the following link for a printable copy and additional information: GFS Business Continuity Plan Notice. Quarterly Report 11Ac1-6 Order Routing for RBC CS Click on the provided link for desired information. You will be leaving the Gardner Financial Services, Inc. website when you click on a link below. RBC CS.com SEC Order Handling Disclosure Order Handling Disclosure Report
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