Legal Fiduciary
Responsibility
A commitment to putting your interests first, with thoughtful advice and clear communication.
Contact Us Today!What Is Fiduciary Responsibility?
In an investment advisory relationship, fiduciary responsibility means an adviser must act in the client’s best interests and must not place its own interests ahead of the client’s. This responsibility includes duties of care and loyalty.
Advice should reflect an understanding of the client’s goals, financial circumstances, and investment objectives. An adviser must eliminate conflicts of interest or provide full and fair disclosure so clients can give informed consent. Some conflicts must be eliminated or sufficiently mitigated when adequate disclosure and consent are not possible.
At Charter Advisory Services, LLC, our commitment is to put your interests first when providing investment advisory services and to make our responsibilities clear throughout our relationship.
Responsibility in Practice
Act With Care
We are committed to meeting the legal and regulatory obligations applicable to our investment advisory services, including our responsibilities to clients and applicable requirements for safeguarding personal information.
Honor Our Agreements
Our advisory agreements describe the services, fees, and responsibilities involved in the relationship. We strive to fulfill those commitments professionally and communicate clearly about the scope of our work.
Respect Your Privacy
We are committed to protecting confidential client information and handling it in accordance with applicable law and our privacy practices. Information may be shared with authorization or as permitted or required by law.
Integrity Means Following Through.
At Charter Advisory Services, LLC, integrity means aligning what we say with what we do. While no individual or company is perfect, we strive to communicate honestly, act consistently, and deliver on our commitments.
What Is an RIA?
A Registered Investment Adviser (RIA) is an investment adviser registered with the U.S. Securities and Exchange Commission or one or more state securities authorities, as applicable.
The Investment Advisers Act of 1940 provides the federal framework for investment advisers’ fiduciary obligations. The application of those duties reflects the scope of the advisory relationship, and state law may impose additional requirements.
You can learn more through the SEC’s interpretation of investment advisers’ fiduciary responsibilities (PDF) or search firm and adviser records through Investment Adviser Public Disclosure.
Registration does not imply government endorsement or a particular level of skill or training. Review the firm’s Form ADV, advisory agreement, and applicable disclosures to understand its services, fees, conflicts, and the capacity in which it is acting.
Let’s Talk About What Matters to You.
Ask questions, understand our approach, and explore how an advisory relationship can support your financial goals.
Contact Us Today!