What Does it Mean to be a Fiduciary?

What Does It Mean To Be A Fiduciary?


As a Fiduciary, Your Investment Advisor has the Duty to:

  • Make full and fair disclosure of all material facts, particularly where the advisor's interests may conflict with the client's

  • Have a reasonable, independent basis for their investment advice

  • Obtain best execution for clients' securities transactions where the advisor is in a position to direct brokerage transactions

  • Ensure that investment advice is suitable to the client's objectives, needs and circumstances

  • Refrain from effecting personal securities transactions inconsistent with client's interest

  • Be loyal to clients

An advisor will be measured against a higher standard of conduct.


Click Here to Schedule a Strategy Review