* First Name:Please enter your first name...
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YES Must check YES to take the Ethics Pledge...
I will always commit myself to protect and promote the interests of my clients, and will always conduct myself in a way that reflects well on my profession.
YES Must check YES to take the Ethics Pledge... I will be totally honest when explaining my education and business background, professional designations, and years of industry experience.
YES
Must check YES to take the Ethics Pledge... I will be completely truthful by not exaggerating the realistic returns or future value one can expect from any product, transaction, service, or investment that I may recommend.
YES
Must check YES to take the Ethics Pledge... I will always disclose the important features of a product, transaction, service, or investment and disclose potential risks that may negatively affect future performance or value.
YES Must check YES to take the Ethics Pledge...
I will always consider both my client’s current and future needs to determine the proper suitability of any recommendations that I may make.
YES Must check YES to take the Ethics Pledge...
I will respect the confidentiality of any information entrusted to me or obtained in the course of my business or professional activities.
YES Must check YES to take the Ethics Pledge...
I will only use sales presentations and advertising materials, including product illustrations that are completely accurate and compliant with state and federal regulations.
YES Must check YES to take the Ethics Pledge...
I will always provide my clients with copies of all required documents that relate to the product, transaction, service, or investment that I have recommended to them.
YES Must check YES to take the Ethics Pledge...
I will always refer my clients to a more specialized professional advisor when their needs go beyond my current license or expertise.
YES Must check YES to take the Ethics Pledge...
I will consistently educate myself as to the new laws and regulations in my industry, and I will always act in good faith toward those I serve.
YES Must check YES to take the Ethics Pledge...
I hereby agree to the principles outlined in this pledge and understand my obligation to uphold appropriate business practices and high standards of professional conduct.
