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Our Firm
Philosophy
Taxes
Investment Process
Client Resources
Blog
Contact Us

Asset management process

May 23, 2018

Investment process slide with disc one pager.pptx

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Griswold Capital Strategies 272 Fieldstone Way #D – Simi Valley, CA 93065 – C: 805-603-2992 – O: (805) 422-8543 - E: richard@griswoldcapital.net

Securities offered through Regulus Financial Group, LLC. Member FINRA/SIPC. Investment advisory services offered through Regal Investment Advisors, LLC a SEC Registered Investment Advisor. Registration with the SEC does not imply any level of skill or training. Regulus Financial Group, LLC and Regal Investment Advisors are affiliated. Griswold Capital Strategies is independent of Regulus Financial Group, LLC and Regal Investment Advisors.

Any tax advice from Rich Griswold comes from his capacity as an Enrolled Agent. Investment advisory services offered through Regal Investment Advisors, LLC an SEC registered investment advisor. Griswold Capital is independent of Regal Investment Advisors. Regal Investment Advisors LLC is not a law firm or an accounting firmIRS Enrolled Agent (EA)– An EA is a federally authorized tax practitioner who has technical expertise in the field of taxation and who is empowered by the U.S. Department of the Treasury to represent taxpayers before all administrative levels of the IRS for audits, collections, and appeals. “Enrolled” means to be licensed to practice by the federal government and “Agent” means authorized to appear in the place of the taxpayer at the IRS. Only Enrolled Agents, attorneys, and CPAs may represent any taxpayer before the IRS. The license is earned in one of two ways: (1) passing a comprehensive examination which covers all aspects of the tax code, or (2) having worked at the IRS for five years in a position which regularly interpreted and applied the tax code and its regulations. All candidates are subjected to a rigorous background check conducted by the IRS. In addition to the stringent testing and application process, the IRS requires Enrolled Agents to complete 72 hours of continuing professional education, reported every three years, to maintain their Enrolled Agent status. Enrolled Agents are required to abide by the provisions of the Department of Treasury’s Circular 230, which provides the regulations governing the practice of Enrolled Agents before the IRS.

Hyperlinks on this site point to website not affiliated with Regulus Financial Group, LLC, Regal Financial Advisors or Griswold Capital Strategies. These links are provided as a convenience only. Regal Investment Advisors, Regulus Financial Group, LLC and Griswold Capital Strategies disclaim any responsibility for the accuracy of the information on those other websites.

The Regulus Financial Group, LLC representative associated with this website may discuss and/or transact securities business only with residents of: CA, CO, ID and TX.

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