It is Our Mission to protect and enhance our client's financial well-being. It is Our Tradition to build a bright, highly professional team that is dedicated to sound financial judgment, strong family values and the ability to daily care for our clients, our staff, our families, and our community.
Code of Ethics
As members of the Financial Industry Regulatory Authority (FINRA), we recognize the importance of codifying and making known to the profession and to the general public the ethical principles that guide the work of management, registered representatives, registered investment advisors and their support staff.
Ethical dilemmas occur when values are in conflict. Finra and the Securities Exchange Commission (SEC) Code of Ethics states the values to which we are committed, and embodies the ethical responsibilities of the profession in this changing financial investment environment.
We strive to pursue the selection of employees with high morals and integrity. We strive to provide excellent personalized investment service to all our clients. In recent years our industry has had incidents (Enron, Mutual fund scandal, etc) that have shaken the faith of the public. We are members of a profession explicitly committed to providing fair and truthful securities information. We have a special obligation to ensure that we safeguard our clients' assets as best we can in order to preserve principal, gain value and encourage growth for our present clients and their future generations.
The principles of this Code are expressed in broad statements to guide ethical decision-making. These statements provide a framework; they cannot and do not dictate conduct to cover particular situations.
Adopted by Cascade Investment Group, Inc.