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Regulatory Disclosures & Compliance Information

Solventis Bankers & Advisors is dedicated to maintaining the highest ethical and regulatory standards. The following disclosures and compliance statements are provided to help you understand our regulatory framework and ensure transparency in our advisory services.

Securities Regulation & Licensing

All investment banking services offered through Solventis Bankers & Advisors are conducted through Britehorn Securities, a registered broker-dealer and member of FINRA and SIPC. As a sponsor and partner, Britehorn Securities provides the regulatory infrastructure and compliance oversight that underpins our service offerings.

FINRA & SEC Oversight

We operate under the oversight of the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Our adherence to these guidelines is designed to protect investors, maintain market integrity, and ensure that all advised transactions meet stringent regulatory criteria.

No Guarantee of Performance

Investing in securities involves risk, and past performance is not indicative of future results. Any forward-looking statements, projections, or estimates provided by Solventis Bankers & Advisors are based on assumptions that may not materialize. Clients should not rely solely on these forecasts for their decision-making and are encouraged to consult with legal, accounting, and tax professionals.

Confidentiality & Conflicts of Interest

We treat all client information with strict confidentiality, disclosing sensitive data only as required by law or as necessary to execute agreed-upon transactions. We have established policies and procedures to identify and mitigate potential conflicts of interest, ensuring clients receive objective and impartial advice.

Investor Protections & SIPC Coverage

Britehorn Securities is a member of the Securities Investor Protection Corporation (SIPC), which provides certain protections to clients’ accounts in the event of a broker-dealer’s insolvency. Additional details on SIPC coverage are available at www.sipc.org.

By working with Solventis Bankers & Advisors and Britehorn Securities, clients acknowledge and agree to the regulatory environment in which we operate. For further information, please contact our compliance team.

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