Ethics and Clients' Rights

Code of Ethics

Precision Wealth Management (PWM) has a clear Code of Ethics, which is disseminated and followed by all affiliated personnel.  Every aspect of our business will be conducted in a fair, lawful and ethical manner. Sufficient internal controls have been implemented to ensure that all reasonable efforts are taken at all times to deter and detect any activities which do not meet the highest standards of ethical behavior.

  • We will seek the best interest of our clients foremost, following a DOL compliant fiduciary standard.
  • Adherence to regulatory requirements will be followed and are overseen by regulatory bodies, such as the SEC & FINRA.
  • All advisors will be experienced and trained so as to perform at the highest ethical, legal and professional levels.
  • Immediate attention is to be given to any area in which our efforts are found to be deficient in any manner.
  • We will ensure awareness of all associated persons regarding the seriousness with which all compliance efforts should be undertaken.
  • Honesty, integrity, kindness and flexibility are words by which we strive to serve our clients.

 

Client Bill of Rights

  1. Our client is entitled to courteous and professional service from his/her advisor and all other associates of Precision Wealth Management.
  2. Investment recommendations will be based upon our client’s needs and personal or business goals.
  3. Our client has the right to transparency – to know all costs, fees and/or commissions associated with all investments purchased.
  4. Our client has the right to discuss any issues that may arise with our Branch Manager at Precision Wealth Management.
  5. Information about a client’s financial situation will be kept strictly confidential and is never shared.
  6. If a client becomes uncomfortable or dissatisfied with a PWM advisor, he or she has the right to ask to be assigned to an alternative advisor.