Ethics & Fiduciary Duty
Act with honesty, integrity, competence, and diligence.
Exercise due care.
Maintain the confidentiality and protect the privacy of client information.
Act in the client's best interests.
Avoid or disclose and manage conflicts of interest.
Act in the manner that reflects positively on the financial planning profession and CFP® certification.
Place your interests above their own interests, or the interests of their firm.
Avoid conflicts of interest to you, obtaining your informed consent and properly managing the conflict.
Continue to put your interests first, even when acting under a conflict of interest.
Comply with the terms of the client engagement and follow your directions, so long as they are reasonable and lawful.
Act with care, skill, prudence, and diligence based on your goals, risk tolerance, objective, financial status, and personal circumstances.
It’s pretty simple: know the client, apply ‘The Golden Rule’ and success will follow.
Let’s invest 30 minutes and begin to learn what’s important to you.