Do what is best for the client. We strongly live by this motto as part of our fiduciary role required by the SEC and FINRA. We strive to meet the client’s goals and wishes while finding strategies to best maximize those ideals. We find the most profitable and efficient plan for each individual client. For this reason, we are a fee-only based company so that we can deliver unbiased advice and investments to benefit our clients.
Norris Waalen is an independent registered investment advisor (RIA) that uses Charles Schwab & Co. as our brokerage firm. Our firm’s independence grants us the freedom to choose from any family of funds or investment vehicles for the client’s true benefit. We pride ourselves on establishing personal relationships with our clients to ensure each individual receives the best advice for their needs and is knowledgeable about their assets.
The RIA stands by the following five statements that we incorporate into our firm every day: