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Wealth Referral Program - Terms and Conditions

The Secfi Customer Referral Program (the “Program”) is intended for individual referrals only. See Secfi Advisory Limited Form ADV Part 2A.

Terms:

Per qualified referral, referrer in the Program will receive a $100 gift card from Visa or Mastercard when referree completes all required paperwork and is onboarded as a [wealth management] client of Secfi Advisory Limited (“Secfi Wealth”). Once the referree is a Secfi Wealth client for one year (measured from the date of initial account funding) the referrer will receive an additional $100 gift card from Visa or Mastercard. Offer valid only when the referrer is a Secfi Wealth client and/or Secfi Securities customer and the referee is a Secfi Wealth client. Within 90 days of a referee meeting Program requirements the referrer will receive an email with information on how to redeem its gift card.

Conditions:

Paid referrals are limited to 5 for a maximum total reward of $500 per calendar year. Referrer represents:

  • that each referred name represents an individual known to them;
  • with respect to the referral, that they are not being compensated other than as described herein;
  • You are not a government entity, or an agent of such entity acting on its behalf;
  • you don’t have any SEC orders issued against you under section 203(f) of the Investment Advisers Act of 1940 (the “Act”) or otherwise; have not been convicted of a felony or misdemeanor involving any securities law violation, including any conviction within the previous ten years of any felony or misdemeanor involving conduct described in section 203(e)(2)(A) through (D) of the Act; have not been found by the SEC to have engaged, or have been convicted of engaging, in any of the conduct specified in paragraphs (1), (5) or (6) of section 203(e) of the Act, and, you are not subject to any order, judgment or decree described in section 203(e)(4) of the Act;
  • we may conduct due diligence on you to confirm any of the above;
  • You will notify us if any of items 1-5 change.

Referrals may not be sourced from automated or distribution lists. Participants must be located in the U.S. to be eligible to be eligible for the Program.

By participating in the Program, the referrer agrees that Secfi may disclose his/her identity as a customer of Secfi to the referred individual (referee) and the compensation received by the referrer.

Current Secfi employees, including any subsidiaries thereof, non-U.S. residents, and residents of any jurisdiction where this offer is not valid are not eligible for the Program.

This offer is not valid for any business (incorporated or unincorporated) accounts. Customers may only be enrolled in one offer at a time. Cannot be combined with any other Secfi referral program. Qualified customers must be of legal age in their state of residence. Restrictions apply, see Mastercard.com or Visa.com for additional terms. Secfi Advisory Limited reserves the right to terminate this offer at any time without notification.

Secfi offers may be subject to U.S. withholding taxes and reporting at retail value. Taxes related to these offers are the customer’s responsibility. Secfi and its affiliates do not provide tax advice.

Secfi refers to Secfi, Inc. and its affiliates. Secfi, Inc. is a technology company offering a range of financial products and services through its wholly-owned, separate but affiliated subsidiaries, Secfi Advisory Limited and Secfi Limited (each, an “Adviser” and collectively, the “Advisers”) and Secfi Securities, LLC (an SEC-registered broker-dealer). Securities products and services offered by Secfi Securities, LLC, Member FINRA/SIPC.

Secfi, Visa, and Mastercard are unaffiliated companies.

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