Saltzman Associates, LLC (“SA”) is a non-FINRA member (non-member) company that provides consulting and other services to banks, broker dealers, insurance companies, and other participants in the financial service industry (“Distributor Firms”).
In the course of its business, SA sponsors Roundtable Meetings (“Meetings”) designed to bring together representatives of Distributor Firms (“Participants”) for the purpose of discussing industry developments, product trends, best practices, and other issues related to the services provided by the Distributing Firms. The objective of the Meeting is to train, educate and inform Participants on industry issues in an effort to improve their overall ability to conduct business effectively. SA recognizes that Distributor Firms may be (or, may be affiliated with) companies that issue and/or offer securities and therefore may be FINRA member firms (or affiliated firms) and that Participants may be Associated Persons.
SA does not offer securities nor is it affiliated with any company that is engaged in the sale and distribution of securities. However, SA is the principal sponsor and promoter of the Meetings and may receive revenue for its services related to the Meetings from member Distributor Firms that have agreed with SA to co-sponsor the Meeting (“Co-Sponsors”). Accordingly, SA structures the Meetings in the following ways in order to comply with
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