Quality of Service
You have the right to a high level of proactive and courteous service from all associates of Dawes Wealth Management.
Trusted Advisor
You have the right to work with a trustworthy, independent financial planner who is professionally competent, personally dedicated, and who communicates with you on a regular basis about your portfolio.
Recommendations based on your Goals
You have the right to financial and investment recommendations based solely upon your unique needs and goals, consistent with the objective of enhancing your financial well-being.
Communication
You have the right to open, consistent communication and to have information presented in clear and understandable terms.
Costs
You have the right to know all costs and expenses associated with an investment, as well as fees our firm charges for services.
Confidentiality
You have the right to the strictest levels of confidentiality with your personal information. Dawes Wealth Management will protect all personal information to the highest standards outlined by the SEC, FINRA, and state regulatory agencies.
Education
You have the right to continual education along your journey towards financial freedom. Through education, our team will assist you with reasonable expectations and achievable scenarios in the development and constant monitoring of your personal financial plan.
Accuracy
Your statements will identify all accounts, positions held, cash receipts, and disbursements made through Dawes Wealth Management.
Best Execution
You have the right to have transactions executed in a timely fashion, at the best available price and with prompt reporting. Your statements should reflect all positions and activity in your account. With the exception of infrequently traded securities, all positions should be priced as accurately as possible.
