The Coe Group of Wells Fargo Advisors, Pasadena CA

Investment Advisors are governed by the Investment Advisers Act of 1940 and applicable state securities laws, which govern conduct and disclosure requirements, creating a high legal standard referred to as “fiduciary” duty.

As a fiduciary, your investment advisor has the duty to:

Make full and fair disclosure of all material facts, particularly where the advisor’s interests may conflict with the client’s

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Have a reasonable, independent basis for their investment advice

Obtain best execution for clients’ securities transactions where the advisor is in a position to direct brokerage transactions

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Ensure that investment advice is suitable to the client’s objectives, needs and circumstances

Refrain from effecting personal securities transactions inconsistent with client’s interests

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Be loyal to clients

How do I enter into a fiduciary relationship with my financial advisor?

Only after you and the firm enter into an advisory agreement does the Financial Advisor have a fiduciary duty under the Investment Advisers Act. In such agreements, the firm and your Financial Advisor explicitly acknowledge an advisory relationship and obligations to you. When acting as your investment advisor, we provide you with disclosure documents about our Advisory services.

What will be the role of your financial advisor?

In advisory programs, your Financial Advisor will act as a consultant, helping you monitor performance and adjust your portfolio on an ongoing basis.

Companies often restrict which positions executives can invest in, as well as how the individual can direct that investment. We help corporate executives understand and navigate company stock and associated restrictions to avoid conflict of interest or breaches of company policy/insider trading laws.

_{Advisory accounts are not designed for excessively traded or inactive accounts and are not appropriate for all investors. Please carefully review the Wells Fargo Advisors advisory disclosure document for a full description of our services, including fees and expenses. The minimum account size for these programs is between $10,000 and $250,000.}

_{Wells Fargo Advisors does not provide legal or tax advice.}