Our regulatory documents
This page contains our regulatory documents for your records. These documents are always current with our regulatory filings.
- A short summary of how Prota engages in business with clients.
- A high level overview of what information we collect and disclose.
- This is our current Privacy Policy. It covers how we handle your personal information.
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The ADV 2A & 2B are filed with the SEC every year, and contain key information about Prota Financial as required by the regulators, including the following:
- Fees & Compensation
- Ethics
- Custody
- Discretion
- Advisor Backgrounds