Code of Ethics & Professional Responsibility
Stewards of Capital & Co.® adopted our Code of Ethics to establish the highest principles and standards. These Principles are general statements expressing the ethical and professional ideals our employees are expected to display in their professional activities. As such, the Principles are aspirational in character and provide a source of guidance for firm's financial professionals and clientele.
Professional Service with Integrity
Integrity demands honesty and candor which must not be subordinated to personal gain and advantage. Our financial professionals are placed in positions of trust by clients, and the ultimate source of that trust is our firm's personal integrity.
Allowance can be made for innocent error and legitimate differences of opinion, but integrity cannot co-exist with deceit or subordination of one’s principles.
Professional Service with Objectively
Objectivity requires intellectual honesty and impartiality. Regardless of the particular service rendered or the capacity in which our financial professional functions, they should protect the integrity of their work, maintain objectivity and avoid subordination of their judgment.
Providing professional services competently
Attaining and maintaining an adequate level of knowledge and skill, and application of that knowledge and skill in providing services to our clients. We have the wisdom to recognize our limitations of that knowledge, and when consultation with other professionals is appropriate or referral to other professionals necessary.
At Steward of Capital & Co.® make a continuing commitment to learning and professional improvement.
Be fair and reasonable and disclose conflicts of interest
Fairness requires impartiality, intellectual honesty and disclosure of material conflicts of interest. It involves a subordination of one’s own feelings, prejudices and desires so as to achieve a proper balance of conflicting interests.
Fairness is treating others in the same fashion that you would want to be treated.
Protect the confidentiality of all client information
Confidentiality means ensuring that information is accessible only to those authorized to have access. A relationship of trust and confidence with our client can only be built upon the understanding that the client’s information will remain confidential.
Professionalism requires behaving with dignity and courtesy to clients, fellow professionals, and others in business-related activities. Our executive team cooperates with fellow team members to enhance and maintain the firm's public image and improve the quality of services.
Act in a manner that demonstrates exemplary professional conduct.
Diligence is the provision of services in a reasonably prompt and thorough manner, including the proper planning for, and supervision of, the rendering of professional services.
Provide professional services diligently.