CLIENT BILL OF RIGHTS
Quality of Service
You are entitled to a high level of proactive, courteous service from all associates at Bautis Financial
You have the right to work with a trustworthy, dependable, independent wealth advisor focused on your journey to true wealth. Your wealth advisor will develop a personal relationship with you through insightful communication highlighting our core beliefs, investment outlook, and management philosophy. Your wealth advisor will present reviews annually or as often as necessary, and will be available to answer the questions that matter to you as they arise
Recommendations Based Upon Your Needs
You have the right to independent and un-conflicted advice and recommendations based upon your defined needs, risk tolerances, and goals. Through holistic wealth planning your needs are clearly defined and constantly monitored
You have the right to the strictest levels of confidentiality with information provided to your Bautis Financial team. Bautis Financial will protect all information to the highest standards outlined by the SEC, FINRA, and state and regulatory agencies
You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions, and advisory services. The Bautis Financial team strives to make all of our communications with you clear and concise. If you have a question, it is our duty to answer it in an understandable way.
You have the right to a prompt response from your Bautis Financial team. As your trusted advisor, the Bautis Financial team commits to returning calls by the end of each business day. Should a request require additional research, our team will set a clearly defined time frame for addressing the issue.
You have the right to be communicated to in a timely manner. As your trusted advisor, our goal is to provide you with information before the question arises, regardless of the medium used.
You have the right to continual education along your journey to true wealth. Through education, our team will project reasonable expectations and achievable scenarios in the development and constant monitoring of your wealth plan
You have the right to receive best execution in all that we do. Portfolio transactions will be executed in a timely manner, at the best available price, and with prompt third party confirmation. All interactions with the Bautis Financial operations team will be timely, precise, and promptly completed
You have the right to accurate third-party reporting of all managed accounts. Your statements will identify all account positions held and cash receipts and disbursements made through Bautis Financial