Broker Check

Client Bill of Rights

To my clients, I will:

  1. Serve as an investment fiduciary, the highest legal duty of one party to another; I am bound ethically to act in your best interest.

  2. Act with honesty and integrity and avoid conflicts of interest, real or perceived.

  3. Ensure the timely and understandable disclosure of relevant information that is accurate, complete, and objective.

  4. Be responsible when determining the value of my services and my form of compensation; taking into consideration the time, skill, experience, and special circumstances involved in providing my services.

  5. When additional expertise is needed, refer my clients to qualified colleagues and/or other professionals who have specialized knowledge and skills.

  6. Preserve and maintain your confidential information during my work.

  7. Act responsibly in all relationships that are entrusted to me.

Adapted from the Accredited Investment Fiduciary® Code of Ethics