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)