Client Bill of Rights
Your Client Bill of Rights for Financial Advising
A great relationship is based upon a solid foundation. The Client Bill of Rights clearly identifies the level of proactive service and relationship you will experience.
Quality of Service
You are entitled to a high level of proactive, courteous service from all associates at our firm.
You have the right to work with a trustworthy, dependable, independent wealth advisor. Your advisor will develop a personal relationship with you through insightful communication highlighting and education. Your wealth advisor will present portfolio reviews annually or as often as necessary, and be available to answer the questions that matter to you as they arise.
Recommendations Based Upon Your Needs
You have the right to independent and unbiased advice and recommendations based upon your defined needs, risk tolerances, and goals. Through holistic wealth planning your needs are clearly defined and constantly monitored.
You have the right to the strictest levels of confidentiality with information provided to your trusted team. We will protect all information to the highest standards outlined by SEC, FINRA, state and regulatory agencies.
You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions and advisory services. We strive to be clear and concise in all of our communications to you. If you have a question, it is our duty to answer it for you in an understandable way.
You have the right to a prompt response. As your trusted advisor, we commit to returning calls by the end of each business day. Should you require additional research, our team will set a clearly defined time frame for redress.
You have the right to be communicated to in a timely manner. As your trusted advisor, our goal is to provide you with information before the question arises, regardless of the medium used.
You have the right to continual education. Our team will project reasonable expectations and achievable scenarios in the development process and constant monitoring of your financial plan.
You have the right to receive best execution in all that we do. Portfolio transactions will be executed in a timely manner, at the best available price, and with prompt third party confirmation. All interactions with your trusted team will be timely, precise, and promptly completed.
You have the right to accurate third party reporting of all managed accounts. Your statements will identify all account positions held, cash receipts, and disbursements.