Impartial Conduct Standards- An inherent conflict of interest exists for Financial Action, Inc. (FAi) and its Advisers, as compensation from different products could substantially vary. The best interest of the client is at the core of our ethics. Financial Action, Inc. engages in Financial Planning, Investment Management Services, Insurance Brokerage Services, and Tax Planning/Preparation Services. Financial Action, Inc. compensates Advisers a percentage of revenue generated by fees or services collected, regardless of  product. Financial Action, Inc. receives an 15% override for some of the services rendered by its Strategic Partners.

Financial Action, Inc. and its Advisers will act with the care, skill, prudence and diligence under the circumstances then prevailing that a prudent person acting in a like capacity and familiar with such matters would use in the conduct of an enterprise of a like character and with like aims, based on the investment objectives, risk tolerance, financial circumstances, and needs of the retail retirement client, without regard to the financial or other interests of the adviser, Financial Action, Inc. or any affiliate, related entity or other party. Financial Action, Inc. does not offer proprietary products for purchase.

To ensure this expectation, the following procedures are required prior to making recommendations to a client:

–       Completion of a Risk Assessment

–       Completion of a Financial Plan (as permitted by the client)

–       Completion of a Fiduciary Questionnaire

–       Disclosure of compensation for proposed solution

–       Disclosure of a minimum of two alternate investment options and their applicable compensation.

–       Additional Adviser resources for services or products recommended

Employees and Investors can research Financial Action, Inc. and its Advisers through the government data base

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Planning, advisory solutions, insurance and advisor independence.

TD Ameritrade is our custodian.  That means monies are held with well known and reputable establishment.  An extremely important detail when considering a financial adviser.

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