Investor Rights

  1. A client is entitled to courteous service from his or her financial advisor and all other associates of our firm.
  2. A client has the right to work with a trustworthy, independent professional financial advisor who is competent in financial planning matters and investing, someone who will be available at all times to answer questions and encourage you to participate in regular portfolio reviews, as well as communicate with you on a regular basis.
  3. As a client, you have the right to ask your financial advisor for information from our firm about his or her work history and background, and to verify the employment and disciplinary history of a financial advisor and our firm by contacting your state securities agency.
  4. Each client has the right to expect that recommendations will be made consistent with the objective of enhancing his or her financial well-being.
  5. Reasonable investment alternatives suitable for a client’s individual objectives should be presented with full disclosure of risks and costs, as well as benefits.
  6. A client has the right to know all costs and commissions associated with an investment, as well as the fees the firm charges for its services.
  7. A financial advisor should project reasonable, achievable results to prevent the formation of unreasonable expectations on the client’s part. A client must also remember that many unanticipated factors can upset expectations and that losses may occur.
  8. Transactions should be executed in a timely fashion, at the best available price, with prompt reports to the client.
  9. Errors should be corrected and complaints addressed promptly by contacting the Nationwide Planning Compliance department.
  10. All information about a client’s financial situation will be kept confidential. Nationwide Planning Associates holds your privacy in the highest regard.
  11. A client has the right to select his or her financial advisor. If the client ever becomes uncomfortable or dissatisfied with their advisor, he or she has the right to ask the firm to suggest alternative professionals for their consideration.

Questions about your rights as a client of Nationwide Planning Associates? Contact your advisor or call the Nationwide Planning Service Center Monday through Friday between the hours of 8:30AM and 5PM at (201) 476-0029 ext. 3054.

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