Code of Ethics

financial services code of ethics

As professionals, it is very important to us that we take steps to ensure transparency and complete disclosure in our relationships with our clients.  In our view, the financial services industry at large has not represented itself with a great deal of integrity in matters relating to fees paid by investors and conflicts of interest prevalent in many brokerage firms.  We feel this behavior has led to the existence of a great deal of  mistrust brought about by the distasteful use of fine print and layered fees.  For this reason, a copy of our current Form ADV Disclosure Statement is available at any time by contacting any of our offices.

The financial advisors of Triton Wealth Management are members of the National Association of Personal Financial Advisors (NAPFA). As NAPFA members, we hold ourselves to a higher standard and abide by the NAPFA Fiduciary Oath and Code of Ethics.

NAPFA


NAPFA Fiduciary Oath

The advisor shall exercise his/her best efforts to act in good faith and in the best interests of the client. The advisor shall provide written disclosure to the client prior to the engagement of the advisor, and thereafter throughout the term of the engagement, of any conflicts of interest, which will or reasonably may compromise the impartiality or independence of the advisor.

When an advisor acts in a fiduciary capacity that advisor is legally obligated to maintain an allegiance of confidentiality, trust, loyalty, and disclosure to his or her clients.

NAPFA Code of Ethics

  • Objectivity: NAPFA members strive to be as unbiased as possible in providing advice to clients and NAPFA members practice on a fee-only basis.
  • Confidentiality: NAPFA members shall keep all client data private unless authorization is received from the client to share it. NAPFA members shall treat all documents with care and take care when disposing of them. Relations with clients shall be kept private.
  • Competence: NAPFA members shall strive to maintain a high level of knowledge and ability. Members shall attain continuing education at least at the minimum level required by NAPFA. Members shall not provide advice in areas where they are not capable.
  • Fairness & Suitability: Dealings and recommendation with clients will always be in the client’s best interests. NAPFA members put their clients first.
  • Integrity & Honesty: NAPFA members will endeavor to always take the high road and to be ever mindful of the potential for misunderstanding that can accrue in normal human interactions. NAPFA members will be diligent to keep actions and reactions so far above board that a thinking client, or other professional, would not doubt intentions. In all actions, NAPFA members should be mindful that in addition to serving our clients, we are about the business of building a profession and our actions should reflect this.
  • Regulatory Compliance: NAPFA members will strive to maintain conformity with legal regulations.
  • Full Disclosure: NAPFA members shall fully describe method of compensation and potential conflicts of interest to clients and also specify the total cost of investments.
  • Professionalism: NAPFA members shall conduct themselves in a way that would be a credit to NAPFA at all times. NAPFA membership involves integrity, honest treatment of clients, and treating people with respect.