WHAT TO EXPECT as our client

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We know that when you first become our client, you take a leap of faith and extend your trust. We realize that your trust is something that we must earn over time, by acting in your best interest and doing what we say we’re going to do, and by being transparent in our actions. When you work with us, you should expect and will receive certain ‘givens’ from day one and throughout the relationship we build with you.

Butterworth statement of principles

Each member of our firm shall always:

SERVE in the best financial interests of our clients. All recommendations and decisions on behalf of our clients shall be solely in the best interest of our clients.

DISCLOSE fully to our clients services provided and compensation alternatives and sources.

PROVIDE our clients all requested information as well as other information needed to make informed investment decisions. Our clients’ inquiries shall be answered to the best of our abilities in a prompt and accurate fashion.

MAINTAIN the confidentiality of all information entrusted by our clients, to the fullest extent permitted by law.

COMPLY fully with all statutory and regulatory requirements issued by federal and state regulatory bodies and compliance requirements of our affiliated broker/dealer, Raymond James Financial Services, Inc.

ACT with integrity, dignity and honesty, and maintain the highest standards of ethics in all forms of professional conduct.

PERFORM professional services in a manner that is fair and reasonable to clients and disclose conflicts of interest in providing such services.

MAINTAIN knowledge base through continuing education.

MONITOR personal securities holdings and transactions of all Butterworth employees to verify that employees’ trading activity is not counter to our clients’ best interests.


We use the words ‘client care’ because attention to detail is of the utmost importance.

Mark Butterworth