Compass Point Retirement Planning, Inc.

Our Service Agreement

Download Our Service Agreement

Our clients are partners.  Together we have a single goal and that is to reach our financial goals today and in retirement.  As partners, we share in this commitment for success.  This outline focuses on our commitment to you and looks at what we will need in return to help you succeed.

Our commitment is simple and that is to provide you with leading edge financial advice supported by the team and the systems to deliver consistently on that promise.  This is our commitment:

1. Portfolio Reviews
It is critical that we meet regularly to review your portfolio, assess any changes in your circumstances and keep you abreast of any issues that may affect your financial future.  As one of our most important clients, you can expect to receive a call to set a face to face meeting (4) times a year.  We will, in addition, touch base by telephone (8) more times a year.

We believe that the key to reaching your goals is your financial plan.  As you know, we provide a comprehensive financial planning service and our commitment is to update your plan every (24) months.  That process will take approximately (2-4) hours of your time but is critical to staying on track and providing us with the information we need to provide sound advice.

2. Full Range of Services
We believe that our role is at the centre of a broader professional network.  To that end, we either provide or facilitate all services to support our clients.  Among the services that our network offers are:

3. Service
To help you understand what you can expect in terms of service on a day-to-day basis, we have established the following standards:

Response time:
You can expect that any call made to our office before 4:00 p.m. will be returned by your advisor or someone on the team, on the same day.  Calls made after 4:00 p.m. will be returned on the next business day.

Problem resolution:
While we endeavor to execute all business without error, we promise that any problems will be resolved within three business days.  If that is impossible, we will provide you with a status report within that time.

Your Team
We have assembled an outstanding team and each individual plays an important role in meeting your needs.  Below is a rundown on your financial management team, each of us are always available to handle your questions.

Michael Vaules – Financial Advisor
Tom Sylvestro – Financial Advisor

5. Client Education
We believe that the interests of our clients are best served when they are educated on key financial issues.  While it is our role to look out for your best interests, it is helpful if you are acquainted with the financial concepts we discuss.  To that end, we will provide a quarterly newsletter that focuses on a range of topical and easy to understand issues for our clients.  When appropriate we will point you to articles of specific relevance to your situation.

6. Our Education
As you can see from the volume of coverage in the media, this is a complex and dynamic industry.  In order to ensure that we are completely up to date, we commit to 25 hours of continuing education every year.  Our newsletter will include an announcement if we will be out of the office for any period of time at industry conferences.

7. Client Commitment
To this point we have outlined our services commitment to you, one of our most important and valued clients.  As we said at the outset, however, this is a two way street and we view our clients as partners.  In return we ask that our clients commit to meeting with us, provide us with all the information that we need and ensure that we are aware of all your assets.  It is only with full disclosure that we can fulfill our promises to provide you with the best advice.

Signed,

 

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Advisor Name

___________________________________
Date

 

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Client’s Name

___________________________________
Date

 

 

Securities and advisory services offered through NATIONAL PLANNING COORPORATION (NPC), Member FINRA/SIPC, a Registered Investment Advisor, FlagStone Retirement Consultants and NPC are separate and unrelated companies.

 

 

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