Your Client Bill of Rights for Financial Advice
Quality of Service
You are entitled to a high level of proactive, courteous service from all associates at our firm.
Transparency
You have the right to a transparent relationship and to clearly know the costs for planning, 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 manner.
Experienced Advisors
You have the right to work with an experienced, dependable, independent Wealth Advisor focused on your best interest. Your Wealth Advisors are dedicated to understanding your personal needs through insightful communication highlighting our core beliefs, investment outlook and management philosophy. Your Advisor will host a planning and portfolio review 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 independent advice and recommendations based upon your personal experience, defined needs, risk tolerances, and goals. We view Wealth Management as the highly personalized and strategic integration of financial planning and investment management; a fluid process that enables you to make well informed and thoughtful decisions reflecting the ever-changing circumstances of your life. Through our dynamic Wealth Planning tool, MyWealthMap™, your needs are clearly analyzed, defined and constantly updated.
Confidentiality
You have the right to confidentiality with information provided to your experienced team. We seek to protect all information to the standards outlined by CFP® Board, SEC, FINRA, state and regulatory agencies.
Prompt Response
You have the right to a prompt response. As your Advisor, we commit to returning calls within one business day.
Timely Communication
You have the right to be communicated to in a timely manner. As your Advisor, our goal is to provide you with information before the question arises, regardless of the medium used.
Education
You have the right to continual education along your journey. Through education, our team will project reasonable expectations and possible scenarios in the development and constant monitoring of your Wealth Plan.
Accuracy
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.
