Compliance & Disclosures
Important regulatory information, disclosures, and compliance documents for Strategic Wealth Endeavor.
Last Updated: February 26, 2026
View Live Compliance Score (updated in real time)Investment Risk Disclosure
Not FDIC Insured • No Bank Guarantee • May Lose Value. Investing involves risk including the potential loss of principal. Past performance does not guarantee future results. The information on this website does not constitute personalized investment advice.
Broker-Dealer & Advisory Disclosures
Brett R. Henderson is a registered representative of Vanderbilt Securities, LLC and investment advisor representative of Consolidated Portfolio Review.
Strategic Wealth Endeavor, Inc. and Vanderbilt Financial Group are separate and unaffiliated entities. Vanderbilt Financial Group is the marketing name for Vanderbilt Securities, LLC and its affiliates.
- Securities offered through Vanderbilt Securities, LLC. Member FINRA, SIPC
- Registered with MSRB
- Advisory Services offered through Consolidated Portfolio Review
For additional information on services, disclosures, fees, and conflicts of interest, please visit www.vanderbiltfg.com/disclosures
SEC Marketing Rule Disclosure
In accordance with SEC Rule 206(4)-1 (the "Marketing Rule"):
- Testimonials and endorsements on this website may be provided by current clients. Such testimonials do not guarantee future investment results.
- Case studies presented are hypothetical illustrations based on composite client experiences and do not represent actual client accounts.
- Any performance data shown is historical and does not guarantee future results.
- All investments carry risk, and it is possible to lose money.
Dual Registration Disclosure
Brett R. Henderson is a registered representative of Vanderbilt Securities, LLC (broker-dealer, Member FINRA/SIPC) and an investment advisor representative of Consolidated Portfolio Review (registered investment adviser).
When acting as a broker-dealer representative, Brett is held to a "suitability" standard.
When acting as an investment adviser representative, Brett is held to a fiduciary standard, which requires acting solely in your best interest.
Brett will disclose in writing which capacity he is acting in at the outset of any engagement.
Investment Risks
All investments involve risk, including the potential loss of principal. There is no guarantee that any investment strategy will achieve its objectives.
Key Risks to Consider:
- Market Risk: The value of investments may decline due to market conditions.
- Interest Rate Risk: Bond prices typically fall when interest rates rise.
- Inflation Risk: Returns may not keep pace with inflation over time.
- Liquidity Risk: Some investments may be difficult to sell quickly at fair value.
- Concentration Risk: Portfolios concentrated in specific sectors may be more volatile.
- Credit Risk: Bond issuers may default on payments.
Past performance is not indicative of future results. Diversification does not protect against loss in declining markets and does not guarantee a profit. All investing involves risk, including the possible loss of principal.
Form CRS (Client Relationship Summary)
Form CRS is a disclosure document required by the SEC that provides retail investors with information about:
- Types of client relationships and services offered
- Fees, costs, conflicts of interest, and required standards of conduct
- Whether the firm or its professionals have disciplinary history
- How to get more information about the firm
Privacy & California Consumer Rights
Strategic Wealth Endeavor is committed to protecting your privacy. We comply with:
- Gramm-Leach-Bliley Act (GLBA): Federal privacy law for financial institutions
- SEC Regulation S-P: Privacy of consumer financial information
- California Consumer Privacy Act (CCPA/CPRA): California residents' privacy rights
California residents have the right to know what personal information we collect, request deletion, and opt-out of data sharing.
We do not sell your personal information.
Business Continuity Plan
Strategic Wealth Endeavor has developed a Business Continuity Plan to respond to events that may significantly disrupt our business operations. Our plan is designed to:
- Protect employees and clients
- Recover and resume operations as quickly as possible
- Maintain access to critical systems and data
- Continue servicing client accounts
In the event of a significant business disruption, clients may contact us through our main phone line (631-845-5100) or email (info@swe90ai.com).
Website Disclaimer
The information provided on this website is for general educational and informational purposes only. It is not intended to be, and should not be construed as, specific investment advice, a recommendation, or an offer to buy or sell any securities or investment products.
The calculators and tools provided on this website are for illustrative purposes only and should not be relied upon as the sole basis for making investment decisions. Actual results will vary based on individual circumstances.
Content on this website may not reflect the most current legal or regulatory developments. We do not warrant that the information is accurate, complete, or current.
Not all products and services referenced are available in all states or to all investors.
Regulatory Resources
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Certification Mark Attributions
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards Center for Financial Planning, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.