Broker Check

CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY*

 

PRINCIPLES OF OUR PRACTICE

1. INTEGRITY

Integrity demands honesty and candor which must not be subordinated to personal gain and advantage

2. OBJECTIVITY

Objectivity requires intellectual honesty and impartiality

3. COMPETENCE

Competence means attaining and maintaining an adequate level of knowledge and skill, and application of that knowledge and skill in providing services to clients

4. FAIRNESS

Fairness requires impartiality, intellectual honesty and disclosure of material conflicts of interest

5. CONFIDENTIALITY

Confidentiality means ensuring information is accessible only to those authorized to have access

6. PROFESSIONALISM

Professionalism requires behaving with dignity and courtesy to clients, fellow professionals and others in business related activities

7. DILIGENCE

Diligence is the provision of services in a reasonably prompt and thorough manner, including the proper planning for and supervision of the rendering of professional services

Strategic Wealth Management, LLC endorses these principles and follows them as our own standard of practice.

*CFP Board's Code of Ethics. Copyright © 2009, Certified Financial Planner Board of Standards, Inc. All rights reserved. Used with Permission.

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STRATEGIC WEALTH MANAGEMENT, LLC, IS A REGISTERED INVESTMENT ADVISER SPECIALIZING IN PROVIDING WEALTH MANAGEMENT SERVICES, COMPREHENSIVE FINANCIAL PLANNING AND CONSULTING SERVICES. SECURITIES ARE OFFERED THROUGH UNITED PLANNERS FINANCIAL SERVICES OF AMERICA, A LIMITED PARTNERSHIP MEMBER FINRA/SIPC. STRATEGIC WEALTH MANAGEMENT, LLC AND UNITED PLANNERS ARE NOT AFFILIATED.