SAFE Act
The SAFE Act requires financial professionals, including state registered investment advisers, to promptly notify the Bureau of Securities and county adult protective services if they reasonably believe that a senior or vulnerable investor is being financially exploited.
Firm principal, T. Duffy has completed the training to identify, report and hopefully stop financial exploitation.
The firm periodically asks clients to voluntarily document client preferences in the event the client is acting in a manner inconsistent to our normal interactions.