Client Bill Of Rights

QUALITY OF SERVICE

You and your family are entitled to a high level of proactive, courteous service at LPL Financial 

QUALIFIED ADVISORS 

You have the right to work with a professional, dependable, independent advisor focused on your journey towards your financial goals. The Wealth Management process helps develop our personal relationship together through insightful communication highlighting our core beliefs, investment outlook and management philosophy. You will receive portfolio reviews annually or as often as necessary and you are invited to contact the office anytime with questions that matter to you as they arise.  

RECOMMENDATIONS BASED UPON YOUR NEEDS 

You have the right to independent advice and recommendations based upon your personal needs, risk tolerances and goals. Through comprehensive planning and ongoing management, your needs are clearly defined and constantly monitored.

CONFIDENTIALITY

You have the right to the strictest levels of confidentiality with information provided to this office.  Your information is protected to the highest standards outlined by various regulatory agencies.

TRANSPARENCY

You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions and advisory services. Every effort is made to keep all communication with you clear and concise. If you have a question, it is our duty to answer it for you in an understandable way.

PROMPT RESPONSE

You have the right to a prompt response to your inquiries. This office is committed to returning calls within the shortest possible time. Should a request require additional research, you will receive a response to set a clearly-defined time frame for redress.

TIMELY PROACTIVE COMMUNICATION

You have the right to be communicated with in a timely proactive manner. As your advisor, the goal is to provide you with information before the question arises, regardless of the medium used.

EDUCATION

You have the right to continual education along your journey to true wealth. Through education, you will receive reasonable expectations and achievable scenarios in the development and constant monitoring of your Wealth Plan. 

ACCURACY

You have the right to accurate, third-party reporting of all managed accounts. Your statements will identify all account positions held, cash receipts and disbursements made.