Our Client Bill of Rights
As a Client You Have The Right To:
- To receive responsible financial advice, tailored to your personal objectives, time horizon, and tolerance for risk.
- To know that being our client is more than just a business arrangement, it is a highly valued long term relationship.
- To have timely and considerate responses to your questions and concerns.
Full and Clear Reporting and Disclosure:
- To develop an understanding of where you are in terms of your financial objectives and the issues related to such objectives. Develop a model that meets those objectives.
- To receive accurate information on the financial solutions we recommend, clearly disclosing their risks, benefits and costs.
- To be fully informed about all strategic decisions regarding your accounts before any implementation.
- To receive accurate, timely and regular statements of your account, including detailed information about all transactions.
- To be advised of realistic expectations based on your actual financial situation.
- To have your portfolios reviewed on a regular and timely basis.
As a Client Your Responsibilities Are:
- To provide accurate information about your financial status, goals and risk tolerance.
- To read thoroughly all sales literature, prospectuses, offering documents and account agreements.
- To ask questions about recommendations, strategies, current accounts and investments, potential conflicts of interest, costs and fees.
- Notify your advisor immediately if there is a significant change in your financial situation or personal life.
“There are two rules of investing: rule number one is don’t lose
your money, and rule number two is don’t forget the first rule.” Warren Buffett
your money, and rule number two is don’t forget the first rule.” Warren Buffett
