Client Bill of Rights

At Coda Financial Group, we take great pride in providing our clients with world-class service. Meeting the individual needs of our clients is our chief concern, and we require our employees and our affiliates to abide by the same standard.

To ensure that every client is treated in a fair and ethical manner, we have made the following promise through our Client Bill of Rights. Rooted in this philosophy is the fact that every Coda Financial Group client has both important rights and responsibilities.

As client of Coda Financial Group, you have the right to:

  • Ongoing monitoring and regular in-person reviews of your financial plans, accounts, investments, insurance policies, and applicable legal and tax documents.
  • Have your calls and emails returned within one business day (or sooner if the matter is time sensitive).
  • Receive accurate and timely statements of your account, including details related to every transaction.
  • Have complicated financial concepts explained in plain English.
  • Have any error acknowledged and corrected without delay.
  • Full disclosure of every commission or fee related to every transaction.
  • Never receive a recommendation that has not been thoroughly investigated in advance.
  • Be treated with the utmost respect and integrity at all times.
  • Receive honest advice and feedback even if it’s hard to hear.
  • More than just a business relationship; a genuine personal relationship that takes your circumstances, values and goals into consideration at all times.
  • Trust that your financial advisor is knowledgeable, registered, and up-to-speed with important developments that have the potential to impact you.
  • Be fully informed about all strategic decisions regarding your accounts before any change is made.
  • Have your privacy carefully guarded, and to never have your personal information shared with someone who is not entitled to it.

All information herein has been prepared solely for informational purposes, and it is not an offer to buy or sell, or a solicitation of an offer to buy or sell any security or instrument or to participate in any particular trading strategy.

Securities and investment advisory services through NATIONAL PLANNING CORP. (NPC), NPC of America in FL & NY, Member FINRA/SIPC, and a Registered Investment Adviser. Registered Representatives of NPC may transact securities business in a particular state only if first registered, excluded or exempted from Broker-Dealer, agent or Investment Adviser Representative requirements. In addition, follow-up conversations or meetings with individuals in a particular state that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made absent compliance with state Broker-Dealer, agent or Investment Adviser Representative registration requirements, or an applicable exemption or exclusion. Coda Financial Group and NPC are separate and unrelated companies.

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