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From a potential client’s very first exposure to our advisory firm, whether that is through a direct referral or having attended one of our financial education seminars, I want them to know about our values-based philosophy in working with clients. The take-home materials our seminar participants receive include my biography and background, an outline of my principles and beliefs, and a mention of my membership in The National Ethics Association. I review these materials with clients at our initial meeting.

I believe that a foundation in humanistic principles is critical to our advisory firm’s success and can help define clients’ interactions with our firm. Values in life are vital to providing a “compass” and “markers” on the journey toward achieving goals. I think our values become the “why” behind everything we do—it’s our motivation.

Foundational values play a fundamental role at home, at work, and in leaving a valuable legacy to our family and communities. Some of our values are love and respect people without conditions; the Golden Rule (treat others the way you want to be treated); planting and reaping wisely; protecting and enhancing one’s reputation; and four cornerstone values I believe in—faith, family, friends, and, yes, finances. We conduct our practice with honesty and integrity. I think these factors have helped contribute to an open and friendly atmosphere that enables clients to enjoy the process of their financial assessment and building investment plans that will have a positive impact on their lives.

Ultimately, our business success is a reflection of striving to do all things with excellence; exceeding client expectations beyond the ordinary standard in our profession; and building lifetime, multi-generational relationships with our clients. We also work hard to provide services and programs to clients that help build a personalized relationship with our advisory firm and keep them involved in an ongoing loop of providing feedback on what we are doing right and where we might improve.

  • Be transparent about the value you provide and how those values define the “why” behind everything you do.
  • Success for an advisory firm is a reflection of striving to do all things with excellence; exceeding client expectations; and building lifetime, multi-generational relationships with clients.
  • Provide services and programs to clients that help build a personalized relationship with your advisory firm.

Disclosure: Advisory services offered through Legacy 360 Financial and Wealth Management LLC, a registered investment advisor in the state of Pennsylvania. Insurance products and services are offered through Legacy 360 Financial and Wealth Management LLC. The National Ethics Association requires an annual membership fee.

This article first published in Proactive Advisor Magazine on May 17, 2018, Volume 18, Issue 6.

Photography by Michael Branscom

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