Code of Ethics

Responsibility

• Have a passion for excellence.  

• Give earnest effort and best thought to the performance of duties.

• Pay attention to details. Attention to detail plays an indispensable role in almost all aspects.

• Keeping proper documentation: complete, accurate and timely recording of information in a manner that ensures accountability, transparency and ethical conduct. This ensures the explanation of what was done, how it was done, and why.

• Team members will attend scheduled meetings on time.

• Team members will complete their tasks on time or when necessary.

Honesty & Integrity

• Act in Best interest of employer and client/customers - expected to perform in the best interest of all.

• Be honest and have integrity, respectfully to each other.

• (Person) shall not knowingly make false or malicious statements about a colleague.

• Do what you say you're going to do, when you say you're going to do it. This includes being on time for phone calls, appointments, meetings, and promises. If a commitment can't be fulfilled, notify others early and agree on a new deliverable to be honored.

• Team members should strive to do their best work.

Safety of our Protocol

• Setting clear behavioral expectations to promote a positive work environment.

• Commitment to the profession: the dedication and passion you have for what you do. Dress to impress, show your loyalty and desire to contribute and be emotionally attached.

• Team members will follow safety protocols and report any concerns to management.

• Team members should keep their workspace tidy.

• Team members will follow management instructions.

• Team members will honor and protect the integrity of confidential client information.

Discernment/Decision Making

• In search of the best solutions, challenge and question what you don't understand.

• Practice blameless problem solving. Look for solutions, not figuring out who made the mistake. 

• Team members will go to the source of the problem when a question arises.

• Team members should make an effort to be well educated on the topic being discussed (attending webinars, Continuing education courses, etc.).

Communication

• Listen generously, listen to understand. 

• Create clarity and avoid misunderstandings by discussing expectations up front. 

• Be Objective when dealing with difficult people.

• Practice Human Connection - Paying attention to details. Care about everyone in the organization for their uniqueness not just for transactions. 

• Communication: maintain high levels of respect, honesty, fairness and integrity. Respond to questions and concerns quickly. Keep those involved continuously updated.

Accountability

• Everyone should be accountable.

• Team members are expected to follow the follow-up procedures when working with clients.

Teamwork

• Teamwork - working well with each other. Be generous with your experience and knowledge. Ask questions to the correct person.

• It’s all about the experience. With every experience, do the little things, as well as the big things, that surprise people. Make every interaction stand out for its helpfulness. Create the “WOW” factor that turns advisors into raving fans. This includes both internal and external customers.

• Team members will respect and strive to have a positive attitude when working with team members and clients.

Unity

• Team members will work together to achieve the company’s goals and individual commitments.

• Team members shall encourage, support, and help each other.

• Team unity shall come together before all other individual goals.