Ethics
You have many choices when it comes to getting investment
advice, especially in New Orleans where either you know a
stockbroker or are related to one. The most important factor
is who can do the best job in helping you manage your money.
If you want confidentiality, you might want to have someone
other than a friend or relative advise you. And while you
are setting standards for selecting the best person to advise
you, why not require they have an M.B.A., adhere to high ethical
standards, and be recognized by their industry? My clients
benefit from my commitment to the following standards
of conduct:
- Avoid Over-Trading: all transactions are suitable
for your investment objectives and financial situation.
- Execute Authorized Transactions:all transactions
are discussed with you or are delegated to day-to-day managers
with your approved discretion.
- Confidentiality: your account is strictly your
information, not to be discussed with others (spouses or friends)
without your written approval.
- Exercise Due Diligence:every investment
is thoroughly researched before and after investing.
I take the time to first understand your objectives, employment,
net worth and income. I listen to your concerns for you, your
spouse and children. We then develop a plan to help you reach
your goals, consistent with your risk comfort level.
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