Skip to content
Brophy Financial Planning is proudly owned by G R Baird Financial Group

Quality Service

Before you make an investment you have the right to:

  • Receive competition, courteous service advice and to be treated fairly, ethically and respectfully.
  • Ask for and receive information about the background of the person handling your investments.
  • Receive complete information about the risks, obligations and costs associated with your relationship.

Full, Clear Reporting

You have the right to:

  • Receive copies of all applications for investment for your signature.
  • Be informed clearly about all the costs associated with your investments and costs related to individual transactions.
  • Accurate, timely and easy to understand descriptions of the transactions statements and other communications from your investment advisor.

Responsible Investment Advice

You have the right to:

  • Be provided with responsible investment recommendations based on personal objectives.
  • Be able to rely on your financial advisors assistance in setting realistic expectations about the long-term performance and risk of your investment into present you with reasonable investment alternatives to meet those expectations disclosing the comparative risks, benefits and costs.
  • Be informed of significant conflicts of interest identified in a financial relationship between the investor at the advisor.

Timely & Fair Resolution of Problems

You have the right to:

  • A clearly defined process for raising and resolving problem.
  • Be informed of alternatives if your investment advisor is unable to resolve a disagreement to your satisfaction.
Back To Top