Regulatory Disclosures
Learn more about our firm and investment professionals at Investment Adviser Public Disclosure.
To gain comprehensive insights into Sunstate Wealth Management, LLC,(“Sunstate”) an SEC-registered investment advisor, including our accounts, products, services, and our relationship with you, we encourage you to review our Sunstate Form CRS and ADV Part 2A Brochure Narrative.
Please note that this website serves solely for informational purposes and does not constitute an offer, recommendation, or solicitation of any product, strategy, service, or transaction. Views, strategies, or products discussed on this site may not be suitable for all individuals and are subject to inherent risks. Prior to making any investment or financial decisions, it is prudent for investors to seek personalized guidance from personal financial, legal, tax, and other professional advisors who consider the unique facts and circumstances of the investor's situation.
This website provides information regarding the investment advisory services offered by Sunstate Wealth Management. Sunstate Wealth Management operates as a business Investment Advisers Act of 1940 and provides investment products and services as an investment adviser. Certain custody and ancillary services are furnished by Sunstate Bank, and both Sunstate Bank and Sunstate Wealth Management LLC are subsidiaries of Sunstate Bancshares Inc. Please be aware that product availability may vary by state and country.
The information on this website has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority. Registration by the United States Securities and Exchange Commission does not imply a certain level of skill or expertise.
INVESTMENT PRODUCTS ARE:
- NOT FDIC INSURED
- NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
- NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, SUNSTATE WEALTH MANAGEMENT OR ANY OF ITS AFFILIATES
- SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED.
Investments in alternative investment strategies are speculative and frequently involve a higher degree of risk compared to traditional investments. These risks encompass limited liquidity, limited transparency, among other factors, and should be contemplated exclusively by sophisticated investors with the financial capacity to absorb potential losses, including the complete or partial loss of assets allocated to such strategies.
Borrowing with securities as collateral entails specific risks, including the potential requirement to deposit additional securities and/or cash in the account to meet a maintenance call, along with the possibility of selling securities in the account to satisfy such calls. Effective utilization of the margin lending program necessitates diligent account management and a comprehensive understanding of conditions that may impact your investments.
Disclosure on Endorsements and Testimonials
At Sunstate Wealth Management, LLC, (“Sunstate”) we value transparency and compliance with the regulations set forth by the U.S. Securities and Exchange Commission (SEC). As part of our marketing activities, we engage with promoters who may provide endorsements or testimonials regarding our services.
Nature of Endorsements and Testimonials
Endorsements and testimonials may include statements from individuals or entities that have a business relationship with our investment advisor. These endorsements and testimonials may be used in our marketing materials and on our website.
Compensation Arrangements
We compensate promoters for their services, which may include endorsing or providing testimonials about our firm. Compensation is generally based on a predetermined agreement and may include monetary compensation, benefits, or other forms of remuneration.
Disclosure of Potential Conflicts of Interest
It is important to note that the use of endorsements and testimonials may create potential conflicts of interest. While we strive to maintain the highest ethical standards and ensure that any endorsements or testimonials provided are truthful and accurate, it's essential for our clients and potential clients to be aware of these relationships.
No Guarantee of Future Performance
Endorsements and testimonials should not be construed as a guarantee or assurance of future performance. Investment outcomes can vary, and individual results may differ based on various factors, including investment goals, risk tolerance, and market conditions.
Seek Individualized Advice
Before making any investment decisions, we encourage individuals to seek personalized advice from their own financial, legal, and tax advisors. Decisions should be based on a thorough assessment of an individual's unique financial circumstances and objectives.
Compliance with SEC Regulations
We are committed to complying with all applicable regulations, including the SEC's New Marketing Rule, which governs our use of endorsements and testimonials. If you have any questions or require additional information about our marketing practices, please do not hesitate to contact us.
Thank you for choosing Sunstate. We appreciate the opportunity to serve you and are dedicated to providing you with the highest level of service and transparency.