Statement of Client’s Rights

1. You are entitled to be treated with courtesy and consideration at all times by your advisor and the other advisors and personnel in your advisor’s office.

2. You are entitled to an advisor capable of handling your financial matters competently and diligently, in accordance with the highest standards of the profession. If you are not satisfied with how your matter is being handled, you have the right to withdraw from the advisor-client relationship at any time (you are responsible for the value of services rendered to you up to the point of discharge).

3. You are entitled to your advisor’s independent professional judgment and undivided loyalty uncompromised by conflicts of interest.

4. You are entitled to be charged a reasonable fee and to have your advisor explain at the outset how the fee will be computed and the manner and frequency of billing. You are entitled to receive a written quarterly statement of services and charges.

5. You are entitled to have your questions and concerns addressed in a prompt manner and to have your telephone calls returned promptly.

6. You are entitled to be kept informed as to the status of your accounts and to request and receive copies of papers. You are entitled to sufficient information to allow you to participate meaningfully in the development of your matter.

7. You are entitled to have your goals and objectives respected by your advisor, including whether or not your ultimate goals can or may be achieved.

8. You have the right to privacy in your dealings with your advisor and to have your secrets and confidences preserved to the extent permitted by law.

9. You are entitled to have your advisor conduct himself or herself ethically in accordance with the Code of Ethics.

10. You may not be refused representation on the basis of race, creed, color, age, religion, sex, sexual orientation, national origin or disability.