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Our Job: |
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You can expect us to return your call in a
timely fashion. It is our goal to make sure that
someone on our team returns your call before the
end of the business day. |
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You can expect us to work to identify
appropriate investments based upon the
information provided to us by you. We call this
the 'get to know the client' process. |
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You can expect us to recommend only
investments appropriate based on the risk/
reward analysis identified in the 'get to know
the client' process. |
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You can expect us to keep your information
private. We promise to collect information
solely for the purpose of knowing your needs.
This information will not be given or sold to
others. |
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You can expect us to explain investments
fully including the commissions (if any) and
whether they are paid directly by you or by a
third party. |
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You can expect us to review your account and
our performance on a regular basis. We recommend
reviewing your account annually on the
anniversary of the date you opened your first
account with us. |
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Your Job: |
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We expect you to be completely honest about
your financial situation. We simply cannot
make approptriate recommendations without
full and complete information. |
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We expect you to report any material changes
in your financial condition to us in a
timely manner. |
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We expect you to review all sales literature
and trade confirms completely. |
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We expect you to contact us immediately if
you have a question or concern about
investments or statements. |
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Small mistakes
can grow into larger ones if not corrected
immediately. |
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We expect you to save money as identified in
the 'get to know the client' process; we
need your help in getting you to retirement. |
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We expect you to keep your paperwork. We
recommend getting a large three ring binder
for this purpose. We recommend keeping one
years worth of confirms and three years
worth of statements. Bye the way; we would
also recommend putting your 401(k) and
Social Security statements in this same
binder (bring it with you when you come see
us). |
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