Three Buckets Wealth Management

Three Buckets Wealth Management left its current broker/dealer on February 1, 2018. This was aphysical move of the office as well as a change in parent company. in the financial services industry,financial advisors are legally unable to communicate with clients about a change in parent companyuntil...

that change occurs. For this reason, Three Buckets Wealth Management was not able to contactthe customer until February 1, 2018.On that date, a phone message was left on the customer's home phone by Cheri [redacted], an advisor atThree Buckets Wealth Management letting the customer know that we had moved and that she wouldbe receiving information in the mail. No response was received from the customer.The week of February 5, 2018, an announcement was mailed to the customer's home address whichprovided the phone number and address of the new office space the company now occupies.On March 1, 2018 the customer called into the Three Buckets office and spoke with the receptionist whoapologized for the miscommunication and assured the customer that our office, and her advisors werehere. The customer then requested an appointment which was set for March 6, 2018.The customer met with Cheri [redacted] on March 6, 2018. They discussed the incident and the customerwas satisfied with the communication she now has with her advisor and Three Buckets WealthManagement