Our regulatory documents
This page contains our regulatory documents for your records. These documents are always current with our regulatory filings.
The ADV 2A is filed with the SEC every year, and contains key information about Prota Financial as required by the regulators, including the following:
- Fees & Compensation
- Advisor Backgrounds
- The Appendix to the ADV 2A contains our Wrap Fee Brochure that is filed annually with the SEC. In short, wrap accounts allow the custodian to charge trading and transactions fees to Prota Financial instead of to you.