Social Websites
E&E may utilize third-party websites, including social media websites, blogs, and other interactive content. E&E considers all interactions with clients, prospective clients, and the general public on these sites to be advertisements under the securities regulations. As such, E&E generally retains copies of information that E&E or third parties may contribute to such sites. This information is subject to review and inspection by the CCO of E&E or the securities regulators.
Information provided on these sites is for informational and/or educational purposes only and is not, in any way, to be considered investment advice nor a recommendation of any investment product. Advice may only be provided by E&E's advisory persons after entering into an advisory agreement and providing E&E with all requested background and account information.
If you have any questions regarding our policies, please Contact Us.
Email and Electronic Communication Disclosures
E&E often communicates with its clients and prospective clients through electronic mail (“email”), short message service (“SMS”), and other electronic means. Your privacy and security are very important to us. E&E makes every effort to ensure that electronic communications do not contain sensitive information. We remind our clients and others not to send E&E private information over email. If you have sensitive data to deliver, we can provide secure means for such delivery.
Please note: E&E does not accept trading or money movement instructions via email.
All emails and business-related SMS communications are sent through systems that can be archived and monitored. Please contact us at www.axxcesswealth.com for our approved texting number. As a registered investment advisor, E&E emails and SMS communications may be subject to inspection by the Chief Compliance Officer (“CCO”) of E&E or the securities regulators.
If you have received an email from E&E in error, we ask that you contact the sender and destroy the email and its contents.
If you have any questions regarding our email policies, please Contact Us.
Securities Disclosure
Securities offered through Xton Financial. Member FINRA, SIPC. Registered with the SEC and MSRB. Eric Sams CA Insurance # 0G97294
Eric Sams is an investment adviser representative of Axxcess Wealth Management, LLC (“Axxcess”), a registered representative of Xton Financial, LLC (“Xton”) as well as an independent insurance agent.
All securities are offered through Xton Financial, LLC (“Xton”). Xton is broker dealer registered with FINRA and SIPC which is located at 80 Broad St., 5th Fl, New York NY 10004. Xton is authorized to provide investment advisory services through its membership agreement with FINRA and operates as a State Registered Investment Adviser. Xton is also registered as a Municipal Advisor with the SEC and MSRB. The sender of this email is a Registered Representative, an Investment Adviser Representative and Municipal Advisor Individual of Xton or Associated Person. Fees paid to Xton shall not increase the fees that are charged to any client for investment services.
Information pertaining to the firm and its registered persons are available through the FINRA's Broker Check site, at the SEC's Investment Advisor Public Disclosure Site. A list of State securities regulators please visit www.nasaa.org. Additional information may also be found at www.XtonFinancial.com, by calling (917) 719-3807 or by sending an email to Hello@XtonFinancial.com. Any complaints against the firm or the Representative should be submitted to Xton’s CCO at the phone number or email address given above. Xton reserves and intends to exercise the right to review, monitor and retain the content of all e-mail communications.
Xton Financial and Axxcess are not affiliated. Advisory and Insurance services are offered independent of Xton Financial.
Information pertaining to Xton Financial and its registered persons are available through the FINRA's Broker Check System or by calling the FINRA's Broker Check Hotline at (800) 289-9999.
Relationship Summary (Form CRS)
Registered broker-dealers are required to deliver to retail investors a relationship summary disclosing certain information about the firm and its relationship with clients.
Click here for a copy of Tessera’s Relationship Summary (Form CRS)
E&E’s Business Activities
E&E's primary business, through Xton, is as a direct mutual fund retailer and a broker selling variable life insurance or annuities.
All investments involve risks, including possible loss of principal. Investors should carefully consider investment objectives, risks, charges and expenses. This and other important information is contained in the fund prospectuses and summary prospectuses, which can be obtained from a financial professional and should be read carefully before investing. Past performance is not indicative of future returns. Please consider your specific investment requirements before choosing a fund, or designing a portfolio that suits your needs.
This site has been designed for informational purposes only and does not constitute an offer to sell and is not a solicitation of an offer to buy any security which may be referenced upon the site. Such offers can only be made where lawful under applicable law. The services and information provided through this site are for personal, noncommercial use and display. E&E does not intend to provide investment advice through this site and does not represent that specific securities or services discussed are suitable for any investor. Investors are advised not to rely on any information contained in the site in the process of making a fully informed investment decision. E&E does not, and nor does this site intend to, render tax or legal advice.
Business Continuity Plan
E&E Financial Services, LLC (“E&E”) and Xton Financial ('Xton) have developed a Business Continuity Plan outlining how the firm will respond to events that significantly disrupt its business. Contacting Us - if after a significant business disruption you cannot contact E&E as you usually do at 619-487-9638 or its alternate number 949.300.3565 or by calling (917) 719-3807.
E&E and Xton plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. Our plan is designed to resume operations as quickly as possible.
Important Information We Collect
To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who becomes a customer.
We may ask for your name, address, date of birth, a picture ID, and other identifying information. If we are unable to verify your identity, we may not be able to provide services.
Privacy Policy
E&E and Xton protect the privacy of all nonpublic, personal information of clients who are natural persons. We do not sell information and limit disclosures as required by law or with client consent.
We implement several procedures to protect confidential information, including locked file storage, encrypted electronic data, and limited access by personnel.
SIPC Information
Xton Financial is a member of the Securities Investor Protection Corporation (SIPC). Learn more at www.sipc.gov or call (202) 371‐8300.
Code of Ethics
Xton's Code of Ethics is based on key principles: investor interests come first, avoid conflicts of interest, and maintain integrity in all activities.
Terms of Use
By using our website, you agree to our Terms of Use. E&E reserves the right to change these terms at any time. Information is for informational purposes only and should not be considered investment advice. Use of this site is at your own risk.
Risk Disclosure
Investments involve risk, including the potential loss of principal. Asset allocation does not guarantee profit or protect against loss. This website is for informational purposes only and should not be considered investment advice.
Privacy Disclosures
E&E is committed to protecting your personal information. We use cookies and other technologies for analytics purposes. We do not collect sensitive information through the site, but third-party websites linked from ours may.
Contact Information
Eric Sams
E&E Financial Services, LLC
Founder and CEO
Phone: (619) 487-9638
Email: Eric@eandefinancial.com
Xton Financial, LLC
Phone: (917) 719-3807
Email: Hello@XtonFinancial.com
