Fisk Financial

Investor Qualification

THIS IS NOT AN OFFERING TO SELL OR A SOLICITATION TO PURCHASE SECURITIES.

We can only provide managed account services to Accredited Investors and select few sophisticated non-accredited investors.We can offer introducing brokerage services to Forex traders of all levels of experience!

Accredited Investor Standards

The term “Accredited Investor” is a very important term to know when considering a potential investment in a private placement or offering a private placement. Most offering exemptions allow for relaxed regulation when offering securities to accredited investors because it is assumed that these investors have an increased level of understanding of investment theory, strategy, and risk. An Accredited Investor is identified as (we have marked the most frequent qualifications used with bold text):

  • A bank, insurance company, registered investment company, business development company, or small business investment company;
  • An employee benefit plan, within the meaning of the Employee Retirement Income Security Act, if a bank, insurance company, or registered investment adviser makes the investment decisions, or if the plan has total assets in excess of $5 million;
  • A charitable organization, corporation, or partnership with assets exceeding $5 million;
  • A director, executive officer, or general partner of the company selling the securities;
  • A business in which all the equity owners are accredited investors;
  • A natural person who has individual net worth, or joint net worth with the person’s spouse, that exceeds $1 million at the time of the purchase;
  • A natural person with income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year; or
  • A trust with assets in excess of $5 million, not formed to acquire the securities offered, whose purchases a sophisticated person makes

Qualified Eligible Person

A Qualified Eligible person is an individual who meets requirements to trade in different investment funds, such as futures and hedge funds. The rules for defining a QEP are outlined under Rule 4.7 of the Commodity and Exchange Act.

  • Must own securities and other investments with a market value of at least $2,000,000.
  • Has or has had an account open with a futures commisssion merchant at any time during the preceding six month period (along with $200,000 or more initial margin and option premiums for commodity interest transactions).
  • Has a combined portfolio of the investments specified in the two requirements above.

Managed Investments

Each state has a “de minimus” exemption that is utilized by Fisk Financial. The “de minimus” exemption specifies the maximum number of investors in that state before a formal registration or notice of intent to sell securities must be registered. The list of states in which we have registered continues to evolve on a daily basis. Also, the list of states in which we can operate under applicable exemptions changes frequently. Please contact us for details to see if we can accept you as an investor.

We cannot accept investments from citizens of the following countries:

  • Balkan Islands
  • Belarus
  • Burma
  • Cote d’Ivoire (Ivory Coast)
  • Cuba
  • Democratic Republic of the Congo
  • Iran
  • Iraq
  • Liberia
  • North Korea
  • Sudan
  • Syria
  • Zimbabwe
Fisk Financial