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Code of Conduct

In order to maintain an understanding with our clients, we have developed the following Code of Conduct as a key to a successful relationship.

What you can Expect

You can trust that we will consistently and responsibly perform all requested services and that we will be available when you need us.
Furthermore, we will:

  • Treat you with respect, honesty and dignity
  • Act as your advisor, putting your interests first
  • Seek a complete and accurate understanding of your goals, your tolerance for investment risk and your time frame
  • Explain as clearly as possible the implications of strategies proposed
  • Update you regularly by email, mail and phone
  • Meet with you at least annually to review your plans

What we Expect

Effective communication and mutual respect are essential to a successful partnership, so we expect:

  • Complete Disclosure
  • Sincerity
  • Honesty
  • Commitment

We expect you to understand that our recommendations are always based on your best interest. As our client, you need to know that all investment, tax, estate and insurance advice will be based on the information you provide to us. We also expect you to participate enthusiastically in the financial planning process. Finally, since the growth of our business is achieved through qualified personal referrals, we expect you to give an honest opinion of our services and to consider introducing our services to others.

Mutual Responsibilities

Working together is essential to effective financial planning. To this end, we both need to make your financial strategies a priority. We will agree to keep each other informed of any new developments that might affect these strategies. And we will agree to take the time to regularly review your plans. We will both be honest and forthcoming about your financial situation. Over time we will develop mutual trust, respect, and understanding.