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Financial Planning Association Code of Ethics

January 23, 2015Constance CiaricoUncategorized

FPA Code of Ethics We stand by these 7 principles …

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Yes, Young Growing Families Can Save & Invest

Financial Planning Association Standard of Care

Securities and advisory services offered through Cadaret, Grant & Co. Inc. a Registered Investment Advisor, and member FINRA/SIPC. Additional advisory services offered through Prentice Wealth Management, LLC, an SEC Registered Investment Advisor. Prentice Wealth Management, LLC and Cadaret, Grant & Co. Inc. are separate entities.

Prentice Wealth Management, LLC (PWM) is a Registered Investment Advisor that is registered with the United States Securities and Exchange Commission (“SEC”) and is notice filed in the state of New York and Florida. PWM only provides investment advisory services in states where it is notice filed or where it qualifies for an exemption. Our Form ADV is available upon request.

Financial professionals associated with this site are registered to conduct securities business and licensed to conduct insurance business in certain states. Response to, or contact with, residents of other states will be made only upon compliance with applicable licensing and registration requirements. The information in this website is for U.S. residents only and does not constitute an offer to sell, or a solicitation of an offer to purchase brokerage services to persons outside of the United States.

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