Legal Notice

Information pursuant to Sect. 5 German Telemedia Act (TMG)

Sebastian Urban
Urban Finance
Herrfurthstraße 4
12049 Berlin

Phone: +49 30 232 555 050
Cellphone: +49 160 615 15 11
Email: mail@urbanfinance.de

Professional title

Fee-based Financial Investment Advisor (Honorar-Finanzanlagenberater) according to Section 34h (1) of the Trade Regulation Act (Gewerbeordnung; GewO); Federal Republic of Germany

Insurance Broker (Versicherungsmakler) according to Section 34d (1) of the Trade Regulation Act (Gewerbeordnung; GewO); Federal Republic of Germany

Real Estate Loan Broker (Immobiliardarlehensvermittler) according to Section 34i (1) of the Trade Regulation Act (Gewerbeordnung; GewO); Federal Republic of Germany

The license as a fee-based financial investment advisor covers the provision of advice on units or shares in domestic open-end investment funds, open-end EU investment funds or foreign open-end investment funds that may be distributed in accordance with the German Investment Code (in accordance with Section 34f (1) No. 1 GewO).

All professional titles and associated licenses were granted in Germany.

Licenses & supervisory authority

License according to Section 34h (1) sentence 1 of the Trade Regulation Act (Gewerbeordnung) as a Fee-based Financial Investment Advisor (Honorar-Finanzanlagenberater);
Supervisory authority: District Office Neukölln of Berlin (Bezirksamt Neukölln von Berlin), Public Order Office (Ordnungsamt), Karl-Marx-Str. 83-85, 12043 Berlin

License according to Section 34d (1) of the German Trade Regulation Act (Gewerbeordnung) as an Insurance Broker (Versicherungsmakler);
Supervisory authority: Chamber of Commerce and Industry of Berlin (Industrie- und Handelskammer zu Berlin), Fasanenstr. 85, 10623 Berlin

License according to Section 34i (1) sentence 1 of the Trade Regulation Act (Gewerbeordnung) as a Real Estate Loan Broker (Immobiliardarlehensvermittler);
Supervisory authority: District Office Neukölln of Berlin (Bezirksamt Neukölln von Berlin), Public Order Office (Ordnungsamt), Karl-Marx-Str. 83-85, 12043 Berlin

Broker register

The Broker Register is a public online register administered by the Chambers of Commerce and Industry for insurance intermediaries, financial investment intermediaries, fee-based financial investment advisors and real estate loan brokers. It provides free public access to information on those professionals, in particular the possibility to verify their license/permission.

My registrations can be checked by entering the following registration numbers at www.vermittlerregister.info/en or by calling +49 30 20 30 80.

Register for financial investment intermediaries: D-H-107-XBS1-28
Register for insurance intermediaries: D-850W-NRXIZ-42
Register for real estate loan brokers: D-W-107-HHL6-06

Registry of the Broker Register:
German Chamber of Industry and Commerce (DIHK | Deutsche Industrie- und Handelskammer), Breite Straße 29, 10178 Berlin

Competent chamber (Berufskammer)

Chamber of Commerce and Industry of Berlin
Fasanenstraße 85
10623 Berlin
www.ihk.de/berlin/english/en

Professional regulations

For acting as a fee-based financial investment advisor:
  • Section 34h in conjunction with Section 34f (2) - (6) of the Trade Regulation Act (Gewerbeordnung)
  • Ordinance on the Brokerage of Financial Investments (Verordnung über die Finanzanlagenvermittlung (FinVermV))
For acting as an insurance broker:
  • Section 34d of the Trade Regulation Act (Gewerbeordnung)
  • Ordinance on Insurance Brokerage and Consulting (Verordnung über die Versicherungsvermittlung und -beratung (VersVermV))
  • Sections 59 - 68 of the Insurance Contract Act (Gesetz über den Versicherungsvertrag (VVG))
  • Section 48b of the Insurance Supervision Act (Versicherungsaufsichtsgesetz (VAG))
For acting as a real estate loan broker:
  • Section 34i of the Trade Regulation Act (Gewerbeordnung)
  • Ordinance on Real Estate Loan Brokerage (Verordnung über Immobiliardarlehensvermittlung (ImmVermV))
  • Sections 655a - 655e of the Civil Code (Bürgerliches Gesetzbuch (BGB))
  • Art. 229 Section 38 and Art. 247 Sections 13, 13b Introductory Act to the Civil Code (Einführungsgesetz zum Bürgerlichen Gesetzbuche (EGBGB))
The professional regulations can be viewed and accessed via www.gesetze-im-internet.de, a homepage provided by the Federal Ministry of Justice and juris GmbH.

Professional liability insurance

I have a professional liability insurance with:

ERGO-Versicherung
ERGO-Platz 1
40477 Düsseldorf

Geographical scope: Europe

Sum insured: 1.5 million euros per claim, maximum 3.0 Millionen euros per year

Insurance number: SV 75402645-892

EU dispute resolution, dispute resolution proceedings in front of a consumer arbitration board

The European Commission provides a platform for online dispute resolution:

https://ec.europa.eu/consumers/odr

Our email address can be found above in this imprint.

We are not obligated to participate in any dispute resolution proceedings and do not participate in any such proceedings.

Person responsible for editorial

Sebastian Urban (address as above)

VAT ID

DE317339250