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Code of Ethics

Fiduciary Financial Advisor in Minneapolis, MN | 401k Rollover

Accredited Investment Fiduciary, AIF®

​​An Accredited Investment Fiduciary (AIF®) recognizes this Code of Ethics and its principles and obligations, in addition to those set forth by any other Code that governs professional and ethical conduct.

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To my clients, I will:

  • Employ and provide the client information on the Prudent Practices when serving as an investment fiduciary and/or advising other investment fiduciaries.

  • Act with honesty and integrity and avoid conflicts of interest, real or perceived.

  • Ensure the timely and understandable disclosure of relevant information that is accurate, complete, and objective.

  • Be responsible when determining the value of my services and my form of compensation; taking into consideration the time, skill, experience, and special circumstances involved in providing my services.

  • Know the limits of my expertise, and refer my clients to colleagues and/or other professionals in connection with issues beyond my knowledge and skills.

  • Respect the confidentiality of information acquired in the course of my work, and not disclose such information to others, except when authorized or otherwise legally obligated to do so. I will not use confidential information acquired in the course of my work for my personal advantage.

  • Not exploit any relationship or responsibility that has been entrusted to me.

To my community - whether defined by work, family, and/or friends - I will:​

  • Proactively promote and be a steward of ethical behavior as a responsible partner among my peers in the work environment and in my community.

  • Ensure that the overall promotion of my practice is implemented in the best interests of my profession.

  • Seek, accept, and offer honest criticism of technical work; acknowledge and correct errors; and properly credit the contributions of others.

  • Use corporate assets and resources employed or entrusted to me in a responsible manner.

  • Continue to improve my knowledge and skills, share ideas and information with colleagues, and assist them in their professional development.

Robert D. Lawson is an AIF® Designee – www.fi360.com a Broadridge Company

Financial Advisor | Minneapolis

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