Broker Check

Helping Clients Grow &
Protect Wealth Since 1985

OUR COMPANY - Client Bill of Rights

It is a principle of The Potter Financial Group that the needs and objectives of our clients are paramount and that they will be treated in a fair and ethical manner by the firm, its employees and affiliates.

Embedded in this principle are two facts:

  • Each client has important rights concerning the decisions which are made
  • Each client has important responsibilities

As a Client You Have the Right To Premier Service

  • To be treated as we would like to be treated
  • To have prompt and courteous responses to your questions and concerns as well as fair resolution to any issue with your accounts
  • To know that being our client is more than just a business arrangement, it is an esteemed, long term, relationship

Full Clear Reporting and Disclosure

  • To be fully informed about all costs associated with your account
  • To be fully informed about all strategic decisions regarding your accounts before any implementation
  • To receive accurate, timely and regular statements of your account, including detailed information about all transactions
  • To be provided with clearly written descriptions of our policies and practices
  • To fully understand our policies regarding privacy protection
  • To be offered responsible financial strategies based on your stated goals, time horizon, risk tolerance and your personal situation as defined by you and your advisor
  • To trust that your financial professional is fully competent, knowledgeable and licensed
  • To provide advice appropriate to your situation
  • To be provided with information about any financial strategy’s risks, time lines and past performance
  • To be advised of realistic expectations based on your actual financial situation
  • To have your financial plans, accounts, investments and insurance reviewed on a regular and timely basis

As A Client Your Responsibilities Are To Communicate with Your Advisor

  • To provide accurate information about your financial status, goals and risk tolerance
  • To ask questions about recommendations, strategies, current accounts and investments, potential conflicts of interest, costs and fees
  • Notify your advisor immediately if there is a change in your financial situation or personal life (i.e. loss of a job, divorce or death of a loved one)

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