Securities and Exchange Commission (SEC)

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Term	Definition
Securities and Exchange Commission (SEC)	A federal agency with a mandate to protect investors; to maintain fair, orderly, and efficient markets; and to facilitate capital formation. The SEC acts as one of the primary regulatory agencies for the investment industry.

Phone

Office: (888) 987-8702
Fax: (888) 507-1238

Email

connect@rpa2000.com

California Office

2945 Townsgate Road, Suite 200
Westlake Village, CA 91362

Utah Office

1548 W. Preserve Ct.
Bluffdale, UT 84065

Check the background of your financial professional on FINRA's BrokerCheck. John Nielsen's CD #1279737

The content is developed from sources believed to be providing accurate information. A diversified portfolio does not assure a profit or protect against loss in a declining market. The information in this material is not intended as tax or legal advice. Please consult legal or tax professionals for specific information regarding your individual situation. The opinions expressed and material provided are for general information and should not be considered a solicitation for the purchase or sale of any security.

Securities offered through Cetera Wealth Services, LLC (doing insurance business in CA as CFGAN Insurance Agency LLC), member FINRA, SIPC. Advisory Services offered through Cetera Investment Advisers LLC, a registered investment adviser. Cetera is under separate ownership from any other named entity. CA Insurance License 0636162. Registered phone number (888) 987-8702

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Individuals affiliated with this broker/dealer firm are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services.