Code of Ethics

Stevens First Principles adheres to a comprehensive Code of Ethics that embody our ideals and provide an ethical and professional environment in which we conduct our business and serve you.

Briefly, our Code of Ethics includes the following:

  • Provide professional services with integrity, honor, fairness, and dignity and maintain client trust and confidence.
  • Maintain objectivity and impartiality with respect to services rendered and advice given.
  • Maintain an adequate level of knowledge and skill and effectively apply that knowledge while recognizing its limitations.
  • Keep client information confidential, disclosing only when authorized or compelled by law.
  • Comply with all laws and regulations as required and applicable, refraining from actions that bring dishonor to you or your profession.
  • The duty to obtain best execution for a client’s transactions where the Firm is in a position to direct brokerage transactions for the client.
  • The duty to ensure that investment advice is suitable to meeting the client’s individual objectives, needs, and circumstances.
  • A duty to be loyal to clients.

A copy of Stevens First Principles Code of Ethics can be found by clicking here.

4100 Newport Place Drive, Suite 250, Newport Beach, CA 92660
Phone: 949-251-9333 | Fax: 949-251-9334 | Email: nora@sfpria.com