Although not a material consideration when determining whether to recommend that a client purchase a specific investment product, The Investment Center, Inc. (TIC) may receive from a particular investment product sponsor (i.e., a mutual fund company, variable investment product sponsor, etc.) support services that, in part, may assist TIC and its representatives to better present a sponsor’s investment products to their clients.
Included within the support services that may be obtained from a product sponsor is a financial contribution to TIC educational, sales and marketing events for its representatives. However, there is no corresponding commitment made by TIC to any product sponsor that TIC representatives will generate a certain level of sales production of their products to TIC clients. In addition, each prospective client should be aware that some investment product sponsors offer incentives to broker-dealers, including TIC, if the broker-dealer reaches certain qualifying sales production levels.
The receipt of support services and incentives are in addition to the commission compensation received by TIC and its representatives for the sale of a commission product.
Currently, the following companies pay these fees to us:
Similar arrangements may be established with additional investment product sponsor and service companies in the future. These fees are paid to TIC by the distributors of the funds (or other sponsor) from their own assets and resources (not the assets of the funds). There is no additional cost to shareholders or the funds. We do not share the above described revenue sharing with your advisor; therefore, your advisor does not consider such fees when deciding which investments to recommend to you.
Because the receipt of support services and incentives could pose a conflict of interest, TIC makes this written disclosure to all clients prior to and/or at the commencement of the TIC brokerage relationship. Should you have any questions or require any additional information, please direct your inquiry to TIC’s Compliance Department at (800) 345-8041.