Client Responsibilities
Reciprocal trust, courtesy and respect are the hallmarks of the advisor-client relationship. Within that relationship, the client looks to the advisor for education, guidance and advocacy. The advisor can manage these expectations as long as the client also fulfills his or her responsibilities.
Clients are expected to:
- Fully disclose accurate information about your financial status and investment objectives, including goals, 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.
- Immediately notify us of any changes in your financial situation, and of major life-events such as divorce, loss of a loved one, loss of a job, or other significant occurrence.
- Be honest with your advisor about any accounts or investments you have with another firm, or that you personally manage.
- Read all sales literature and prospectuses 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.
- Acknowledge that the advisor is governed by the rules set forth by the SEC, FINRA and other regulatory bodies.
- Return all phone calls, emails and correspondence in a timely fashion.
- Provide at least 24 hours' notice if unable to attend a meeting.
- Treat the advisor and staff with courtesy and consideration.