393 Red Cedar Street
Good ethics involve judgments about what is right and what is wrong, which isn't always clear-cut in the business world. My code of ethics outlines my responsibilities to my clients, associates, business partners, and the community.
As Investment Advisor Representative of Woodbury Financial Services, I have a fiduciary duty to you, my client. I must put your interests and wellbeing first avoiding activities, interests and relationships that may run contrary to your own. It has taken years to build my reputation and I am careful not to let any negative action affect that. Below are the guidelines I follow for myself as well as my business partners.
To be competent, I must develop and maintain a level of specialized knowledge and skill, then apply it effectively. Competence also includes the wisdom to recognize my limits and know when to seek additional resources to help meet my clients' needs.
I am placed in a position of trust and confidence by my clients. The ultimate source of such trust is my personal integrity. I tell the truth, use good judgment and comply with securities' laws and regulations.
Objectivity requires honesty and impartiality. It is my responsibility to make full and adequate disclosures of all facts, fees and relationships so clients can make informed decisions. My discussions, communications and representations must have a clear purpose and honest and fair content.
Client information is confidential and shall not be disclosed. This allows us to create a relationship of personal trust and confidence. No aspect of a client's affairs, either personal or business, may be discussed outside of the office. I also will not disclose whether a particular person, firm or corporation is a client of my company unless authorized in advance.
Diligence is the delivery of services in a prompt and thorough manner. It is my responsibility to do what I say I'm going to do; promptly return e-mails and phone calls; follow up on outstanding issues; and meet deadlines.