Bill Of Rights


You are entitled to a high level of proactive, courteous service from the Rosen Group and all other associates of our firm.


You have the right to work with a trustworthy, dependable, independent professional financial advisor who is competent in financial planning matters and investing, someone who will be available at all times to answer questions and encourage you to participate in regular portfolio reviews, as well as communicate with you on a regular basis.


You have the right to independent and unconflicted advice and recommendations based upon your defined needs and objectives.


You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions, advisory services, as well as fees the firm charges for its services. All communications with the Rosen Group strive to be clear and concise. If you have a question, it is our duty to answer it for you in an understandable way.


You have the right to a prompt response from the Rosen Group. As your Trusted Advisor, the Rosen Group commits to returning calls by the end of each business day. Should a request require additional research, our team will set a clearly defined time frame for redress.


You have the right to be communicated to in a timely manner. As your Trusted Advisor, our goal is to provide you with information before the question arises, regardless of the medium used.


You have the right to receive best execution in all that we do. Portfolio transactions will be executed in a timely manner, at the best available price, and with prompt third party confirmation. All interactions with the Rosen Group operations team will be timely, precise, and promptly completed.


You have the right to continual education along your journey to achieving true financial independence. Through education, our team will project reasonable expectations and achievable scenarios in the development and constant monitoring of your Wealth Plan.


You have the right to the strictest levels of confidentiality. Raymond James has the highest regard for client privacy. We believe in a client's right to the privacy of his or her personal information. We do not sell personal information to anyone. When a client provides personal information to his or her financial advisor and/or Raymond James (such as name, e-mail address or telephone number), Raymond James does not provide this information to any external organization unless we are required to do so by regulations or law, or it is necessary to process a client's orders or provide the services requested.