Code of Ethics

And Professional Responsibility

These principles of the Code express the profession’s recognition of its responsibilities to the public, to clients, to colleagues, and to employers.  They apply to all Stegent Equity Advisor, Inc.’s employees (SEA employee) and provide guidance to them in the performance of their professional services.

Integrity

A SEA employee shall offer and provide professional services with integrity and will at all times put the client’s interest above their own.

Objectivity

A SEA employee shall be objective in providing professional services to clients.

Competence

A SEA employee shall provide services to clients competently and maintain the necessary knowledge and skill to continue to do so in those areas in which the employee is engaged.

Fairness

A SEA employee shall perform professional services in a manner that is fair and reasonable to clients, principals, partners, and employers and shall disclose conflict(s) of interest(s) in providing such services.  When services are involved, I will charge a fair and reasonable fee based on the amount of time and skill required.

Confidentiality

A SEA employee shall not disclose any confidential client information without the specific consent of the client unless in response to proper legal process, to defend against charges of wrongdoing by the SEA employee or in connection with a civil dispute between the SEA employee and a client.

Professionalism

A SEA employee’s conduct in all matters shall reflect credit upon the profession and will abide by both the spirit and the letter of the laws and regulations applicable to all services.

Diligence

A SEA employee shall act diligently in providing professional services and give the client the same service that he would apply to himself in the same circumstances.