• AXXCESS POLICIES & PROCEDURES

    AXXCESS CRM, AXXCESS HEADLINES, AXXCESS RECOMMENDED, COMPLIANCE, OPERATIONS
    May 6, 2022

  • AXXCESS CODE OF ETHICS

    AXXCESS HEADLINES, AXXCESS HEADLINES-HR, AXXCESS HEADLINES-NEWS AND EVENTS, AXXCESS RECOMMENDED, COMPLIANCE, FORMS, OPERATIONS, TRENDING

  • AXXCESS WEALTH MANAGEMENT TRADE POLICY 2022

    AXXCESS HEADLINES, AXXCESS HEADLINES-HR, AXXCESS HEADLINES-NEWS AND EVENTS, COMPLIANCE, COMPLIANCE

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COMPLIANCE ATTESTATION FORMS & IMPORTANT DOCUMENTS

Code of Ethics
Policy and Procedure Manual
Trade Allocation Policy
COE, TP, P&P Certification
Quarterly Trade/Account Certification
Instructions for adding trading and covered accounts.
BCP- Business Continuity Plan
Cyber Security Policy
DOL Advisor DD Checklist- Fiduciary Certification
AWM Client Directed Rollover Acknowledgement
DOL Client Directed Rollover Certification
AWM Client ERISA Fiduciary Disclosure and Acknowledgement
Tab Content #1
Tab Content #2
Tab Content #3

Alternative Diligence Submission Form

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Social Media Attestation and Disclosure Form

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Personal Investment Account

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Gift and Entertainment

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Political Contribution

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Client Complaint

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Private Securities Transaction log

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Annual Compliance Attestation

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DOL- Conflict of Interest Rule- Final
Axxcess Wealth Management Trade Policy 2022
Business Continuity Plan 2022
Axxcess Allocator- Risk Survey Tracking
CONTACT US
Axxcess Wealth Management, LLC
6005 Hidden Valley Road Suite 290
Carlsbad CA, 92011
1-866-217-5607
support@axxcessplatform.com
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DISCLOSURES

Advisory services provided by Axxcess Wealth Management, LLC (AWM), an Investment Adviser registered with the SEC. Advisory services are only offered to clients or prospective clients where Axxcess Wealth Management, LLC and its Investment Advisor Representatives are properly licensed or exempt from registration.