CUSTOMER RELATIONSHIP SUMMARY

04/30/21

INTRODUCTION
Global Shares Financial Services, Inc. (GSFS) is registered with FINRA and the SEC as a broker-dealer. Free and simple tools are available to research firms and financial professionals at: www.Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing. To learn more about GSFS, you may go to FINRA’s BrokerCheck at: https://brokercheck.finra.org/.

RELATIONSHIPS AND SERVICES


WHAT INVESTMENT SERVICES AND ADVICE CAN YOU PROVIDE ME?

GSFS facilitates securities transactions for retail investors as part of employer stock incentive plans. It is important to note that the account is a limited purposes brokerage account that can only sell the stock obtained through your employer’s stock option plan.
You will make the ultimate decision regarding the sale of company stock in your brokerage account. It is important to understand that the Firm and its registered representatives do not monitor your investment or account after a transaction is entered.
There is no minimum amount required to open an account.

Questions to consider:
• Given my financial situation, should I choose a brokerage service? Why or why not?
• How will you choose investments to recommend to me?
• What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

FEES, COSTS, CONFLICTS AND STANDARD OF CONDUCT

WHAT FEES WILL I PAY?

It is important for you, the retail investor, to understand the principal fees and costs you will incur for your brokerage services, including how frequently they are assessed and the conflict of interest they create.
• Brokerage services: GSFS charges a transaction-based fee to sell securities in your brokerage account. This means you are charged more when there are more trades in your account.

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.


Questions to consider:
• Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

WHAT ARE YOUR LEGAL OBLIGATIONS TO ME WHEN PROVIDING RECOMMENDATIONS AS MY BROKER-DEALER? HOW ELSE DOES YOUR FIRM MAKE MONEY AND WHAT CONFLICTS OF INTEREST DO YOU HAVE?

If we provide you with a recommendation as your broker-dealer, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you. Here are some examples to help you understand what this means.
• GSFS receives compensation on each trade conducted in your account. It is important to note that the Firm does not make any recommendations to its retail customers.


Questions to consider:
• How might your conflicts of interest affect me, and how will you address them?

HOW DO YOUR FINANCIAL PROFESSIONALS MAKE MONEY?
Our registered representatives (RRs) receive a fixed salary, and in some cases, may receive a portion of commissions along with a year-end bonus based upon the Firm’s performance during the year.
DISCIPLINARY HISTORY
DO YOU OR YOUR FINANCIAL PROFESSIONALS HAVE LEGAL OR DISCIPLINARY HISTORY?
No. For a free and simple search tool to research our firm and our registered representatives’ disciplinary actions and history, please go to: www.Investor.gov/CRS


Questions to consider:
• As a financial professional, do you have any disciplinary history?
• If so, for what type of conduct?

ADDITIONAL INFORMATION
If you would like up-to-date information about our firm or to request a copy of the relationship summary, please call 732-256-1003.

Global Shares Financial Services Inc is a FINRA-registered broker-dealer in the United States, and Global Shares is a trading name of Global Shares Ireland Limited, a company registered in the Republic of
Ireland, registration number 412396 with its registered office at West Cork Technology Park, Clonakilty, Co, Cork, Ireland. Global Shares Execution Services Limited is regulated by the Malta Financial
Services Authority (license number IS/86113) and deemed authorised and regulated by the Financial Conduct Authority. The nature and extent of consumer protections may differ from those for firms based
in the UK. Details of the Temporary Permissions Regime, which allows EEA-based firms to operate in the UK for a limited period while seeking full authorisation are available on the Financial Conduct
Authority’s website.