Client Bill of Rights
The Gardner Group's clients are the most important people in our office, whether they are visiting in person, by email, or by phone. They deserve a timely response to all inquiries or contacts. The Client Bill of Rights clearly identifies the level of proactive service and relationship you will experience at The Gardner Group.
The Gardner Group's clients are not dependent on us—we are dependent on them.
The Gardner Group's clients are not an interruption of our work; they are the purpose of it. We are not doing them a favor handling their inquiries; they are doing us a favor by giving us an opportunity to earn their business.
Quality of Service
You are entitled to a high level of proactive, courteous service from all associates at The Gardner Group. 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 portfolio reviews annually or as often as necessary, and be available to answer the questions that matter to you as they arise.
If you are displeased with any element of our service, The Gardner Group expects the courtesy of timely notification so that we may address the issue.
We take pride in our appearance and in our professional dress code at all times.
The Gardner Group will hold in the strictest confidence, and consider as privileged, all business and personal information pertaining to our clients' affairs. You have the right to the strictest levels of confidentiality with information provided to The Gardner Group. We will protect all information to the highest standards outlined by the SEC, FINRA, and state and regulatory agencies.
In order to provide our clients with an optimal level of service, The Gardner Group expects clients to be continually forthcoming with all relevant financial information.
You have the right to a transparent relationship and to clearly know the costs for advisory services, financial planning, fees, and transactions. All communications with your team at The Gardner Group will strive to be clear and concise. If you have a question, it is our duty to answer it for you in an understandable way.
You have the right to a prompt response from The Gardner Group team. As your trusted advisor, our team commits to returning calls by the end of each business day. Should you require additional research, our team will set a clearly defined time frame for redress.
- All calls received before 1:00p.m. are returned that day.
- All calls received after 1:00p.m. are returned by 10 a.m. the next day.
- All service requests received before 12:00 noon are to be handled the same business day, with special priority to time-sensitive requests and custodian deadlines.
- All service requests where a follow-up client call is necessary are made within 24 hours of the request (sooner if it is time sensitive).
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 financial 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 Gardner Group 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, cash receipts, and disbursements made through The Gardner Group.
The above are our formal standards that are communicated to everyone at The Gardner Group.