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AIF© Code of Ethics
I recognize that this Code of Ethics, and its principles and obligations, are in addition to those set forth by any other Code that governs my professional and ethical conduct.

To my clients, I will:

  1. Employ and provide the client information as defined by the Foundation for Fiduciary Studies when serving as an investment fiduciary and/or advising other investment fiduciaries.
  2. Act with honesty and integrity and avoid conflicts of interest, real or perceived.
  3. Ensure timely and understandable disclosure of relevant information that is accurate, complete and objective.
  4. Be responsible when determining the value of my services and my form of compensation; taking into consideration the time, skill, experience and special circumstances involved in providing my services.
  5. Know the limits of my expertise and refer my clients to colleagues and/or other professionals in connection with issues beyond my knowledge and skills.
  6. Respect the confidentiality of information acquired in the course of my work and not disclose such information to others, except when authorized or otherwise legally obligated to do so. I will not use confidential information acquired in the course of my work for personal advantage.
  7. Not exploit any relationship or responsibility that has been entrusted to me.

To my community (whether defined by work, family and/or friends), I will:

  1. Proactively promote and be a steward of ethical behavior as a responsible partner among my peers in the work environment and in my community.
  2. Ensure that the overall promotion of my practice is implemented in the best interests of my profession.
  3. Seek, accept and offer honest criticism of technical work; acknowledge and correct errors; and properly credit the contributions of others.
  4. Use corporate assets and resources employed or entrusted to me in a responsible manner.
  5. Continue to improve my knowledge and skills, share ideas and information with colleagues and assist them in their professional development.

Copyright © 2002-2014, Center for Fiduciary Studies

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 Securities, insurance products, and investment advisory services offered through FSC Securities Corporation and its affiliates, member FINRA and SIPC, and a registered investment advisor. Certain insurance products are offered by Karen Codman, CA insurance license 0B90642, as a licensed agent independent of FSC Securities.

Broadridge Investor Communication Solutions, Inc. does not provide investment, tax, or legal advice. The information presented here is not specific to any individual's personal circumstances.

To the extent that this material concerns tax matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Each taxpayer should seek independent advice from a tax professional based on his or her individual circumstances.

These materials are provided for general information and educational purposes based upon publicly available information from sources believed to be reliable—we cannot assure the accuracy or completeness of these materials. The information in these materials may change at any time and without notice.

This communication is strictly intended for individuals residing in the state(s) of AL, CA, CO and OR. No offers may be made or accepted from any resident outside the specific states referenced.
 


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