Regulatory Disclosures

Last Updated: October 29, 2024
Version: 1.0
Effective Date: October 29, 2024

Important Notice
Quality Connect LLC operates solely as a connection service, facilitating introductions between interested parties and investment representatives. We are not a financial institution, investment advisor, or broker-dealer.

Service Definition
Quality Connect provides:
  • Personal secretarial services
  • Call scheduling and management
  • Direct connections to investment representatives
  • Information delivery services

We explicitly do not:
  • Provide financial advice
  • Execute investments
  • Handle financial transactions
  • Manage investment accounts
  • Make investment recommendations
  • Guarantee accuracy or timeliness of information on this Site

Regulatory Status
Quality Connect:
  • Is a Pennsylvania limited liability corporation
  • Operates as a connection service
  • Does not require registration as an investment advisor
  • Does not require registration as a broker-dealer
  • Is not affiliated with any financial institution

Investment Representatives
When using our service to connect with investment representatives, please note:
  • Representatives are independent from Quality Connect
  • Each representative maintains their own licenses and registrations
  • Investment decisions are made solely between you and the representative
  • We do not endorse specific investment products or strategies

Data Handling Compliance
We maintain compliance with:

Call Recording and Monitoring
We maintain the following practices:
  • Calls may be recorded for quality assurance
  • Analytics are performed on call content
  • Recordings are securely stored and protected
  • Access is restricted to authorized personnel
  • Retention follows regulatory requirements

Risk Disclosures
Investment Risks
  • Alternative investments involve substantial risk
  • Past performance does not guarantee future results
  • Investments may lose value
  • Investment success is not guaranteed
  • Returns may vary significantly

Service Limitations
We do not:
  • Guarantee investment performance
  • Assure representative availability
  • Validate investment suitability
  • Verify investment accuracy
  • Monitor investment performance

Consumer Protection
We are committed to:
  • Transparent communication
  • Clear service descriptions
  • Honest marketing practices
  • Privacy protection
  • Data security
  • Consumer rights respect

Complaint Resolution
For service-related complaints:

Regulatory Inquiries
Direct regulatory inquiries to:

Documentation
We maintain:
  • Service records
  • Call recordings
  • Communication logs
  • Call analytics
  • Compliance documentation
  • Training records
  • Incident reports

Changes to Disclosures
We reserve the right to update these disclosures. Changes will be:
  • Posted on our website
  • Effective immediately upon posting
  • Communicated when materially significant
  • Available in archived versions

Contact Information
For questions regarding these disclosures: