Secure Planning Disclosures

Secure Planning Form CRS

The new Form CRS has an effective date of June 30, 2020. It should further strengthen the relationship between you and Secure Planning, LLC. Form CRS will help provide you with information that will help us continue to work well together. Both brokers and investment advisors will be required to provide you with Form CRS, as of June 30, 2020. It includes information about the relationship between a client and their broker-dealer or investment advisor. Standardizing how information is provided raises the level of client understanding and lets you more easily compare offerings and services across the industry. Secure Planning is dually registered as both a broker-dealer and an investment advisor. 

 Download Secure Planning Form CRS

 Secure Planning BD Supplement to Form CRS

The new Form CRS has an effective date of June 30, 2020. This disclosure summarizes important information concerningthe scope and terms of the services we offer through our broker-dealer and details the material conflicts of interest that arise through the delivery of these services. Please review this information carefully, along with any applicable account agreement(s), disclosure documentation, and our Customer Relationship Summary ("Form CRS"). 

 Download Secure Planning BD Supplement to Form CRS

Secure Planning ADV Disclosure Brochure

The Secure Planning, LLC. ADV Disclosure brochure provides clients and prospective clients with information about Secure Planning and its advisory services that should be considered before becoming a client of Secure Planning. This brochure has been prepared by Secure Planning, LLC. 

Download Secure Planning ADV Disclosure Brochure

Secure Planning Business Continuity Plan

Secure Planning, LLC. plans to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business.  In short, our company's business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

Download Business Continuity Plan

Customer Privacy Notice

As your Broker/Dealer and Registered Investment Advisor, Secure Planning, LLC. strongly believes in protecting the confidentiality and security of information we collect.

Download Client Privacy Notice

Client Profile Form 

When you become a client of Secure Planning, LLC. we will ask you to fill out this Client Profile form.  Every three years, or anytime there is a significant change to your situation, we will ask you to review, update and sign this form again. 

Download Client Profile Form

Trusted Contact Form

A "trusted contact person" is a person that you authorize your brokerage firm to contact in limited circumstances. 

Download Trusted Contact Form