Client Bill of Rights

QUALITY OF SERVICE

You are entitled to a high level of proactive, courteous service from all associates at Stonebrooke Wealth Management Inc.

TRUSTED ADVISORS

You have the right to work with a trustworthy, dependable, independent Wealth Advisor focused on your journey towards 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 semi-annually or as often as necessary, and be available to answer the questions that matter to you as the arise.

RECOMMENDATIONS BASED UPON YOUR NEEDS

You have the right to independent and unconflicted advice and recommendations based upon your needs, risk tolerance, time horizon and goals. Through Wealth Planning, both your needs and desires are clearly defined and constantly monitored.

CONFIDENTIALITY

You have the right to the strictest levels of confidentiality with information provided to your LPL financial advisor(s). Stonebrooke Wealth Management Inc. will protect all information to the highest standards outlined by the SEC, FINRA, and state regulatory agencies.

TRANSPARENCY

You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions and advisory services. All communication from the Stonebrooke Wealth Management Inc. team strives to be clear and concise. If you have a question, it is our duty to answer it for you in an understandable way.

PROMPT RESPONSE

You have the right to a prompt response from Stonebrooke Wealth Management Inc. team. As your Trusted Advisor, our team commits to returning calls by the end of each business day. Should a request require additional research, our team will set a clear defined time frame to readdress this with you.

TIMELY COMMUNICATION

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.

EDUCATION

You have the right to continual education along your journey towards True Wealth. Through education, our team will assist you with reasonable expectations and achievable scenarios in the development and constant monitoring of your Wealth Plan.

BEST EXECUTION

You have the right to receive the 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 Stonebrooke Wealth Management Inc. operations team will be timely, precise, and promptly completed.

ACCURACY
Your statements will identify all accounts positions held, cash receipts, and disbursements made through Stonebrooke Wealth Management Inc.