Below you will find the various legal disclosures and regulatory documents that we are required to file each year or whenever we have material changes to our policies and procedures. There is nothing you need to do with these as they are informational only. Please direct any questions to your individual Financial Advisor or visit our Contact page.

Advisory services are offered through High Rock Holdings DBA High Rock Wealth Management, an investment adviser registered with the state of North Carolina. Advisory services are only offered to clients or prospective clients where High Rock Wealth Management and its representatives are properly registered or exempt from registration.
 
The information on this site is not intended as tax, accounting or legal advice, nor is it an offer or solicitation to buy or sell, or as an endorsement of any company, security, fund, or other offering. Information provided should not be solely relied upon for decision making. Please consult your legal, tax, or accounting professional regarding your specific situation. Investments involve risk and have the potential for complete loss. It should not be assumed that any recommendations made will necessarily be profitable.
 
The information on this site is provided “AS IS” and without warranties either express or implied and the information may not be free from error. Your use of the information provided is at your sole risk.