Regulatory Documents for Download
Gitterman Wealth Management, LLC (“GWM”) is an SEC registered investment adviser located in Edison, NJ. GWM and its representatives are in compliance with the current registration and notice filing requirements imposed upon SEC registered investment advisers by those states in which GWM maintains clients. GWM may only transact business in those states in which it is registered or notice filed, or qualifies for an exemption or exclusion from registration or notice filing requirements. GWM’s web site is limited to the dissemination of general information regarding its investment advisory services to United States residents residing in states where providing such information is not prohibited by applicable law. Accordingly, the publication of GWM’s web site on the Internet should not be construed by any consumer and/or prospective client as GWM’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Furthermore, the information resulting from the use of tools or other information on this Internet site should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from GWM. Any subsequent, direct communication by GWM with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of GWM, please contact the United States Securities and Exchange Commission on their web site at www.adviserinfo.sec.gov or state securities law administrators for those states in which GWM is registered. A copy of GWM’s current written disclosure brochure discussing GWM’s business operations, services, and fees is available from GWM upon written request. GWM does not make any representations as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to GWM’s web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Investment advisory services are offered through Gitterman Wealth Management, LLC an independent investment advisory firm registered with the SEC (CRD 153062). Associated persons of Gitterman Wealth Management, LLC are licensed with and offer securities through Vanderbilt Securities, LLC, member FINRA/SIPC, registered with MSRB (CRD 5953). Gitterman Wealth Management, LLC and Vanderbilt Securities, LLC are separate and distinct federally regulated entities. For more information see www.adviserinfo.sec.gov.
The information provided on this web site is provided for informational purposes only and should not be used as a substitute for professional investment advice. While all information on this web site is gathered from sources that we deem to be reliable, we cannot guarantee the completeness and/or accuracy of such information. The tools and calculators accessible on or from this web site are provided by third parties solely for your convenience and we do not guarantee their proper operation or the accuracy of the information resulting from their use and disclaim all warranties, both express and implied, regarding their operation and use and from the information resulting therefrom.
Some of our investment advisory representatives have been awarded the Five Star Wealth Manager award. The Five Star Wealth Manager program is one of the largest and most widely published wealth manager awards program in North America. Five Star award winners do not pay a fee to be included in the research or on the final list of award winners. Five Star award winners may pay fees to Five Star for marketing and advertising support of the award. For the purpose of the program, wealth managers are defined to be those individuals who help their clients prepare a financial plan and/or implement aspects of their financial plan.
To receive the Five Star Wealth Manager award, a wealth manager must satisfy 10 objective eligibility and evaluation criteria that are associated with wealth managers. Required eligibility criteria are: (1) credentialed as an investment advisory representative, (2) actively employed as a credentialed professional in the financial services industry for a minimum of five years, (3) favorable regulatory and compliant history review, (4) fulfilled their firm review based on internal firm standards, and (5) accepting new clients. Considered evaluation criteria are: (6) one year client retention rate, (7) five year client retention rate, (8) non-institutional discretionary and/or non-discretionary client assets administered, (9) number of client household’s served, and (10) education and professional designations.
Working with a Five Star Wealth Manager is no guarantee as to future investment success nor is there any guarantee that the selected wealth managers will be awarded the Five Star Wealth Manager in the future. The award methodology does not evaluate the quality of services provided by the firm. For more information on the Five Star aware and the research/selection methodology, go to www.fivestarprofessional.com.
Some of our staff have been awarded the Certified Financial Planner (CFP®) designation. The Certified Financial Planner (CFP®) designation identifies to the public those individuals who have met rigorous professional standards and have agreed to the principles of integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence when dealing with clients. After completing seven courses of study, the candidate must pass the comprehensive certification examination, agree to abide by the Code of Ethics and Professional responsibility and rules of conduct which put client’s interests first and spell out what clients should reasonably expect from the financial planning engagement. The designation requires on-going continuing education to be completed every 2 years along with paying an on-going licensing fee to continue to use the designation.
Some of our staff have been awarded the Accredited Asset Management Specialist (AAMS®). The Accredited Asset Management Specialist (AAMS®) is a professional designation awarded by the College for Financial Planning to financial professionals who successfully complete a self-study program, pass an exam and agree to comply with a code of ethics. The designation requires on-going continuing education to be completed every 2 years along with paying an on-going licensing fee to continue to use the designation.
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