FINANCIAL Services Industry

Industry Intentions

Wall Street has had honorable intentions since inception, unfortunately they have not always been apparent to the investing public. Many honorable intentions are shadowed by the fear and greed of Wall Street. 

Listed below are many of these intentions, recognizable and unrecognizable: 

  • Employ the highest trained professionals
  • Promote advanced education and designations
  • Emphasize long-term careers
  • Encourage value-added partnerships
  • Create an atmosphere of highly principled professionals
  • Deliver transparency within products and services
  • Emphasize financial planning
  • Align investor needs with prudent solutions
  • Pursue alpha and deliver performance
  • Risk management
  • Offer a fair value for services rendered
  • Proactively service clients
  • Empower investors through education
  • Report information in a timely and accurate manner
  • Excel in the execution of operations & administration
  • Utilize current technology
  • Adhere to regulatory requirements
  • Align advisor compensation with client relationships
  • Ensure industry standards of excellence are met
  • Exhibit comprehensive and quality advisory practices