CODE OF ETHICS & CONDUCT
N.A.I.A. Code of Ethics
As a member of the N.A.I.A., I believe it to be my responsibility to . . .
- Adhere to professional standards of conduct in helping my clients attain their financial objectives.
- Present completely, accurately and honestly all facts essential to my clients' decisions.
- Disclose to clients and prospective clients, accurate and complete information about investment products and any and all associated fees.
- Work diligently to gather all information pertinent to an investment decision and consider all related parties prior to committing client assets to an investment.
- Deliver unbiased, objective investment advice, single mindedly focused on the best interest of my client.
- Be responsive to all inquiries, and attentive to the needs of my clients and related parties on a timely basis.
- Render exemplary service to my clients and their beneficiaries.
- Maintain my clients confidences.
- Increase my knowledge through continuing education.
- To act at all times with:
• Prudence
• Complete Disclosure
• Integrity and Honesty
• Competence
• Confidentiality
• Fairness and Suitability
• Professionalism
• Regulatory Compliance
N.A.I.A. Pledge of Ethical Conduct
As a member of the N.A.I.A . . .
- I shall always act prudently and in good faith.
- I shall be proactive in my disclosure of any material information that may affect you, your beneficiaries or the investments that you hold.
- I shall not be influenced in dispensing financial advice by the amount of compensation that I or my firm may gain from the placement of your assets.
- I shall manage your assets, and the decisions that affect them, with the same level of care and diligence that I would handle my very own, provided I was in a similar life situation.
- I shall be attentive to inquiries, responsive when called upon and deliver the highest level of customer care that I am capable of.
- I shall, at all times, maintain the confidence and confidentiality of my clients and their beneficiaries.
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