Will Your Advisor Take The Fiduciary Oath?
Investors have a right to know whether or not their advisor is acting in their best interests. We recommend that investors insist the oath be signed by their advisors before entering into a relationship. Annex Wealth Management has committed to uphold this oath for all current and future clients.
The Fiduciary Oath
Above all else, we believe in placing your best interests first. It is this core commitment and philosophy that forms the bedrock for our company.
Therefore, we are proud to commit to the following principles:
We will always act as your fiduciary in all aspects of our relationship. Our commitment to the fiduciary standard of care is absolute and without exception.
We do not earn a penny of commissions from the recommendations or transactions that we place in your accounts. We do not participate in any revenue-sharing arrangements with any investment company we select to provide services to you.
We will not underwrite or sponsor any of the investments we select to advance your financial plan. We have no proprietary products to push or sales quotas to meet.
We are a fee-only advisor. We earn our fee exclusively through the comprehensive services we provide to you.
You will receive comprehensive wealth management services including retirement planning, tax planning, estate planning, and investment management from our team of experienced and trained specialists.
We will act with prudence; that is, with the skill, care, diligence, and good judgment of a professional.
We will not mislead you, and we will provide straight-forward full and fair disclosure of all important facts.
We will avoid conflicts of interest. We will fully disclose and fairly manage, in your favor, any unavoidable conflicts.
We will communicate with you on a regular basis and foster an environment of client education and empowerment. We believe an informed client is a more powerful client.
We will employ independent world-class qualified custodians to hold your accounts. We believe in the checks and balances an independent third-party provides you as a client.
We will strive each day to earn your trust, to act with diligent care, and to fulfill the firm’s mission of being an elite wealth management firm.
Before you commit to a financial advisor, make sure you have their assurances to a fiduciary oath. Get straight answers and get it in writing. Your family deserves it.
Dave J. Spano, CFP®
President/CEO | Annex Wealth Management
Click Here For A Printable Version
Print the oath and bring it to your financial advisor. If an advisor refuses to sign this oath, save your money for one who can.
Annex Wealth Management
12700 W. Bluemound Rd.
Elm Grove, WI 53122
Call: (262) 786-6363
Fax: (262) 792-8930
This site has been published for residents of: AZ, CA, CO, FL, GA, IA, IL, IN, KS, KY, MA, MI, MN, MO, NH, NV, NY, NC, OH, SC, SD, TN, TX, UT, VA, WA & WI ONLY. By entering you certify you are a resident of one of those states. All information herein has been prepared solely for information purposes, and it is not an offer to buy or sell, or a solicitation of an offer to buy or sell, any security.