What to Expect

As Our Client

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:

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.


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


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.


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


fully with all statutory and regulatory requirements issued by federal and state regulatory bodies.


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


knowledge base through continuing education.


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