Our Promise
It is one of our core principles that the needs and objectives of our clients are paramount and that they will be treated in a fair and ethical manner by the firm, its employees and affiliates.
Embedded in this principle are two facts:
- Each client has important rights concerning the decisions which are made
- Each client has important responsibilities.
As a Client You Have the Right To:
Premier Service
- To be treated as we would like to be treated
- Have prompt and courteous responses to your questions and concerns as well as fair resolution to any issue with your accounts
- Know that being our client is more than just a business arrangement, it is an esteemed, long term, relationship
Full Clear Reporting and Disclosure
- Be fully informed about all costs associated with your account.
- Be fully informed about all strategic decisions regarding your accounts before any implementation
- Receive accurate, timely and regular statements of your account, including detailed information about all transactions
- Be provided with clearly written descriptions of our firm’s policies and practices
- Understand fully our policies on privacy protection responsible, competent financial advice
- Be offered responsible financial strategies based on your stated goals, time horizon, risk tolerance and situation as defined by you and your advisor
- Trust that your financial professional is fully competent, knowledgeable and licensed
- Provide the appropriate advice possible for your situation
- Be provided with information about any financial strategy’s risks, time lines and past performance
- To be advised of realistic expectations based on your actual financial situation
- Have your financial plans, accounts, investments and insurance reviewed on a regular and timely basis
As A Client Your Responsibilities Are:
Communicate with Your Advisor
- Provide accurate information about your financial status, goals and risk tolerance
- Ask questions about recommendations, strategies, current accounts and investments, potential conflicts of interest, costs and fees
- Notify your advisor immediately if there is a change in your financial situation or personal life (i.e. loss of a job, divorce or death)