DISCLOSURES
Our Firm
Goggans Group Inc (GGI) is an Investment Adviser with offices in Gadsden, Alabama and Anniston, Alabama. GGI is registered with the Alabama Securities Commission to conduct business in the State of Alabama. We are permitted to conduct business in states in which we are registered or are exempt from registration requirements.
All third-party information is intended to provide relevant insight and perspective but GGI does not warranty its accuracy, timeliness, or suitability. Investing always involves risk and GGI can not guarantee the performance of any investment or guarantee any investment strategy will be profitable or consistent with past results.
Client Brochure
Summary of Material Changes
- We disclosed information related to a pending civil action. A detailed description is available in Item 9: Disciplinary Information.
Our entire Client Brochure (Form ADV Part 2) is available for your review.
Privacy Notice
We require non-public personal information to provide financial advice and investment management to our clients. We maintain physical, electronic, and procedural safeguards to protect your information from unauthorized access and distribution.
Goggans Group Inc Privacy Notice
Frequently Asked Questions
What is the Form ADV Part 2?
The Form ADV is the Uniform Application for Investment Adviser Registration form. It is used by Investment Advisers to register with the Securities and Exchange Commission (SEC) and/or state securities administrators like the Alabama Securities Commission. The form has two parts: Form ADV Part 1 and Form ADV Part 2.
Form ADV Part 1 discloses information about the Investment Adviser’s business, clients, employees, affiliations, and disciplinary events.
Form ADV Part 2 is a plain English brochure of the information contained in Part 1 as well as supplemental information about the educational and business background of advisers and key personnel. The client brochure (Form ADV Part 2) is the primary disclosure document provided to clients.
Why did I receive a summary of material changes?
Every year investment advisers are required to deliver each client a summary of the material changes to the client brochure and access to the entire brochure.
What is a material change?
A material change is any change to the business of the Investment Adviser that may impact an existing client or the decision making process of a potential client. Examples of material changes include: offering additional services, fee changes, and hiring additional advisors or key personnel.
Is there any additional action required?
No. Providing these disclosures for your review is a regulatory requirement intended to inform clients of Investment Advisers and the general public.
