Disclosures


Please take a moment to review our Code of Ethics and our Disclosure Statement Form ADV.  Form ADV is a regulatory disclosure regarding our services, business practices and compensation.

In order to open the Disclosure Statement, you will need Adobe Acrobat Reader.  You can download Adobe Reader for free here.

Client Confidentiality

Cathy Pareto And Associates, Inc. is committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services provided by Cathy Pareto And Associates, Inc.

We have never disclosed information to non-affiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising the client first.

Additional Disclosures

This website is a publication of Cathy Pareto and Associates.  The firm is registered as an investment adviser with the SEC and only conducts business in states where it is properly registered or is excluded from registration requirements. Registration is not an endorsement of the firm by securities regulators and does not mean the adviser has achieved a specific level of skill or ability.

Information presented is believed to be current. It should not be viewed as personalized investment advice. All expressions of opinion reflect the judgment of the authors on the date of publication and may change in response to market conditions. You should consult with a professional advisor before implementing any strategies discussed. Content should not be viewed as an offer to buy or sell any of the securities mentioned or as legal or tax advice. You should always consult an attorney or tax professional regarding your specific legal or tax situation. Cathy Pareto and Associates is not engaged in the practice of law or accounting.

Hyperlinks on this website are provided as a convenience. We cannot be held responsible for information, services or products found on websites linked to ours.

All investments have the potential for profit or loss. Different types of investments involve higher and lower levels of risk. There is no guarantee that a specific investment or strategy will be suitable or profitable for an investor’s portfolio. There are no assurances that a portfolio will match or exceed any particular benchmark. Asset allocation and diversification will not necessarily improve an investor’s returns and cannot eliminate the risk of investment losses.

Third-party rankings and recognition from rating services and publications do not guarantee future investment success. Working with a highly-rated adviser also does not ensure that a client or prospective client will experience a higher level of performance. These ratings should not be viewed as an endorsement of the adviser by any client and do not represent any specific client’s evaluation. Generally, ratings, rankings and recognition are based on information provided by the adviser. Please contact the adviser for more information regarding how these rankings and ratings were formulated.

Stock photos are used for the singular purpose of enhancing our sites. None of them are photographs of current or former clients.