Dean ParsonsCRD Number: 4040551
Current Firm: Global Diversified Investments
Global Diversified Investments (GDI), established in January 2011 and incorporated in the State of California on October 17, 2011 and which received approval as an investment adviser in the State of California (CRD#: 157326) on January 08, 2013 offers to its clients the opportunity to invest in a globally diversified investment portfolio that utilizes a time tested asset allocation and risk management framework. Additionally, GDI is registered with the National Futures Association (NFA) as NFA Member, approved 07/15/2015 and Commodity Trading Advisor (CTA), registered 04/28/2015 (NFA ID: 0484603).
GDI services include, financial planning services, portfolio management for individuals and small businesses, portfolio management and strategy development for businesses or institutional clients (other than registered investment companies and other pooled investment vehicles), pension asset management consulting services, guidance for the selection of other advisers (including private fund managers). In instances where GDI is hired to provide services relating to the hiring of another advisor, GDI will diligently review each advisor in order to ensure that advisor is properly registered and licensed as an investment advisor. All publications of GDI periodicals, newsletters and/or commentaries can be located at www.globaldiversifiedinvestments.com/3.html.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Safeguard Investment Advisory Group, LLC
|World Vision International||Monrovia, CA||Jan 2008 - Aug 2014||6|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Jan 2013|
|S3||National Commodities Futures Examination||Jul 2015|
Total Assets Under Management1MILLIONS
Total Number of Accounts10ACCOUNTS
Average Account Value$149,777
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
Investments purchased and owned by GDI involve risk of material loss. GDI Investors could lose some or all of their investment. Prior to making any investment decision prospective investors should carefully review and consider the following information contained in this risk disclosure summary statement. This summary highlights the material risks that could materially affect investments in the GDI asset allocation framework. This risk disclosure statement summary is not intended to be all-inclusive; rather, it is intended to highlight certain of significant factors and special risks relating to the investments GDI participates in.
a) Overall Investment Risk
All securities investments risk the loss of capital. Many unforeseeable events, including actions by various government agencies and domestic and international political and economic events and other events of force majeure, such as acts of God, and certain other events beyond reasonable control (e.g. war, riot, urban unrest, terrorism), may cause sharp market volatility and investment price fluctuations.
b) Market Risk /Volatility Risk
The securities market on which the securities to be invested in are traded or listed may be directly or indirectly impacted by a jurisdiction which may have political, economic, legal and regulatory conditions. Further to the above which are internal factors, trading volume and price of the securities may also be affected by other factors, which are those relating to the securities themselves or by external factors such as war, global or regional economic and/or financial crisis. Changes in these factors may also have an impact upon the trading volume and price of the securities.
c) Settlement Risk
Investment in securities involves the execution, delivery and clearing of the transactions. Though unlikely, these factors may give rise to increased risk, including risks of fraud, delivery failure, or settlement confusion over precise payment and repayment and delivery terms and mechanisms, and other factors which may result in loss, loss of opportunities, delays and added operational and legal costs.
d) Currency Risk
As the investments in the securities and/or any action relating to the investment in the Securities will be settled and denominated in foreign currencies, returns on the investments and/or any action with respect to the investments may be significantly influence by currency. If any devaluation occurs in any currency in which the investors have invested, the investors may suffer losses.
e) Credit Risk
Investors may be exposed to the credit risk of the counterparty, including the issuer of the purchased securities. Investors may be subject to risk of loss in the event of such counterparty’s or the issuer’s bankruptcy or insolvency or inability or unwillingness to perform its obligation, including the obligation to return the capital or redeem the invested securities.
f) Execution Risk
Interactive Brokers, acting as a broker for the purchase, sale and/or investment in the securities, may, on certain occasions, not be able to execute the purchase or sale or to undertake any action relating to the securities in accordance with the investors’ instruction. These occasions include, among other things, a situation where the market conditions are not favorable, the order cannot be matched, the laws and regulations of the Exchange or other competent authorities in those countries impose limitation, etc. As a result, the investors may incur loss or risk from such investment.
g) Risk Relating to the Investor’s Own Investment
Any decision by an investor to invest in the securities outside of GDI is his/her own independent decision. GDI does not act as an advisor or serving as a fiduciary to the investors on decisions made outside of GDI and its framework. Before making a decision to invest, the investors should confirm that they have carefully studied and considered all information relating to the status, business, financial condition and operation of the company/entity issuing the securities, including the underlying assets of or other information relating to the securities in which the investors will invest, and other relevant factors relating to the investment such as political, economic, legal and regulatory conditions of the relevant countries, as well as market conditions, demand, supply and price of the underlying goods of the securities. As a result, the investors bear all risks from the investment and GDI has no fiduciary duty to the investors and no liability in connection with and are not responsible for any liabilities, claims, damages, losses, costs and expenses arising from such investment.
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