Activities & Affiliations

Other Business Activities and Affiliations

Dock Treece, President of Treece Investment Advisory Corp., is separately licensed as a registered representative of Treece Financial Services Corp. ("TFSC"), a FINRA registered broker dealer under common ownership with Treece Investment Advisory Corp.  Mr. Treece is also President and owner of TFSC.  Further, Mr. Treece is also licensed as an insurance broker and is able to purchase variable annuities through TFSC.  As such, Mr. Treece, in his separate capacity as registered representative and insurance broker, will be able to effect securities transactions and/or purchase investment products (insurance) for clients, for which he will receive separate, yet customary compensation. Clients, however, are not under any obligation to engage Mr. Treece when considering implementation of advisory recommendations. The implementation of any or all recommendations is solely at the discretion of the client.

While Mr. Treece endeavors at all times to put the interest of the clients first as part of Treece Investment Advisory Corp.'s fiduciary duty, clients should be aware that the receipt of additional compensation itself creates a conflict of interest, and may affect the judgment of this individual when making recommendations.  Mr. Treece may spend as much as 20 to 25% of his time with this related activity.

In addition, Mr. Treece is Owner of Douglas Allen & Associates ("DAA"), a company in the business of providing administrative and office services.  Services provided by DAA are separate and distinct from the advisory services of Treece Investment Advisory Corp., and are not offered to advisory clients of Treece Investment Advisory Corp.  

Mr. Treece is also Owner of N731PC, LLC and Treece Properties, LLC, holding companies which own an airplane and an office building respectively.  Moreover, Mr. Treece serves as the President of Treece Holding & Management Company, a currently non-operative corporation.

Mr. Treece may spend as much as 5% of his time with these related activities.