Brice Financial Service

FINANCIAL ADVISOR’S FIDUCIARY OATH

FINANCIAL ADVISOR’S FIDUCIARY OATH


The advisor shall exercise his/her best efforts to act in good faith and in the best interests of the client.

The advisor shall provide written disclosure to the client prior to the engagement of the advisor, and thereafter throughout the term of the engagement, of any conflicts of interest, which will or reasonably may compromise the impartiality or independence of the advisor.

The advisor does not receive a fee or other compensation from another party based on the referral of a client or the client's business.

Following the Financial Advisor Fiduciary Oath means we shall:

  • Always act in good faith and with candor.
  • Be proactive in disclosing any conflicts of interest that may impact a client.
  • Not accept any referral fees contingent upon the purchase or sale of a financial product.

CODE OF ETHICS

Objectivity: Advisors strive to be as unbiased as possible in providing advice to clients, and members practice on a Fee-Based basis. 

Confidentiality: Advisors shall keep all client data private, unless authorization is received from the client to share it. Advisors shall treat all documents with care and take care when disposing of them. Relations with clients shall be kept private. 

Competence: Advisors shall strive to maintain a high level of knowledge and ability. Advisors shall attain continuing education at least at the minimum level required by SEC and the Florida Office of Financial Regulation. Advisors shall not provide advice in areas where they are not capable. 

Fairness & Suitability: Dealings and recommendation with clients will always be in the client’s best interests. Advisors must always put their clients first. 

Integrity & Honesty: Advisors will endeavor to always take the high road and to be ever mindful of the potential for misunderstanding that can accrue in normal human interactions. Advisors will be diligent to keep actions and reactions so far aboveboard that a thinking client or other professional would not doubt intentions. In all actions, advisors should be mindful that in addition to serving their clients, they are about the business of building a profession, and their actions should reflect this. 

Regulatory Compliance: Advisors will strive to maintain conformity with legal regulations. 

Full Disclosure: Advisors shall fully describe method of compensation and potential conflicts of interest to clients and also specify the total cost of investments.

Professionalism: Advisors shall conduct themselves in a way that would be a credit to the financial industry at all times. Being an advisor involves integrity, honest treatment of clients, and treating people with respect.
 

MISSION

To promote the public interest by advancing the financial advisory profession and supporting advisors consistent with our core values.

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