Our Client Bill of Rights
We understand a great relationship is based upon a solid foundation. Meeting the individual needs of our clients
is our chief concern. To ensure that every client is treated in a fair and ethical manner, we have created our Client
Bill of Rights. Rooted in this philosophy is the fact that every client has both important rights and responsibilities
to help ensure a successful relationship.
As a client, you have the right to:
- A high level of professional, prompt, and courteous service at all times.
- Work with a qualified, trustworthy, dependable advisor that listens and truly understands your unique situation.
- An advisor helping you to make smart financial decisions and avoiding mistakes.
- Ongoing monitoring and regular wealth strategy sessions to help you stay on track.
- Have your calls and emails returned promptly.
- Receive accurate and timely statements of your account.
- Have complicated financial concepts explained in easy to understand terms.
- Be treated with the utmost respect and integrity at all times.
- Receive honest advice and feedback even if it’s hard to hear.
- A genuine personal relationship that takes your circumstances, risk tolerance, values, goals and objectives into consideration at all times.
- Trust that your financial advisor is knowledgeable, registered, and stays up to date with important developments that could impact you.
- Have your privacy carefully guarded.
As a client, your responsibilities are to:
- Fully disclose accurate information about your financial status and investment objectives, including goals, objectives, risk tolerance and other pertinent details.
- Ask any questions you have about recommendations we make.
- Ensure you understand and are comfortable with all strategies, investments, risks, costs and fees associated with your accounts.
- Please notify us of any changes in your financial situation, and of major life-changing events such as divorce, loss of a loved one, loss of a job, or other significant occurrence that could impact our advice.
- Be honest with your advisor about any accounts or investments you have with other firms, or that you personally manage.
- Read all literature provided to you.
- Keep yourself informed about important financial issues and discuss these with your advisor.
- Let us know if we fail to meet your expectations in any way, or if you don’t understand or agree with any actions we take.
