Terms & Conditions
By using this website or app, you agree that all content is for educational and informational purposes only. SRG Consulting PLLC does not provide legal, tax, ERISA, fiduciary, accounting, or investment advice through this site.
Any 401(k), rollover, Roth conversion, annuity, trust, lending, or retirement-planning information must be reviewed with a qualified advisor, CPA, attorney, plan administrator, or fiduciary professional before action is taken. Rollover recommendations may require documentation, disclosure, and review under applicable retirement-plan rules.
SRG Consulting PLLC reserves the right to modify these terms at any time. Continued use of the platform after such changes constitutes your acceptance of the new terms.
Exclusive Access is a feature where a one-time fee may be applicable. By creating an account, you agree to these terms. If you book an appointment with one of our advisors and fail to attend without proper cancellation or rescheduling, your access may be suspended or terminated, including a permanent ban.
Important Disclosures: SRG Consulting PLLC Code of Ethics
SRG Consulting PLLC is committed to honesty, transparency, client protection, and professional conduct in all financial education, insurance, retirement, business-succession, and wealth-preservation services.
Client First Standard
We place the client’s interests first and provide recommendations or education that are suitable, clearly explained, and based on the client’s stated goals, needs, risk tolerance, and financial situation.
Integrity and Fair Dealing
SRG will conduct business with high standards of commercial honor, fairness, and good faith, consistent with FINRA’s principles of fair dealing and ethical conduct.
Fiduciary Awareness and Conflicts
Where fiduciary duties apply, SRG personnel must act with loyalty, care, and full disclosure. Conflicts of interest, compensation arrangements, referral relationships, and product incentives must be disclosed before action is taken. SEC rules require investment advisers to maintain written ethics standards reflecting fiduciary obligations.
No Misleading Statements
SRG will not make false, exaggerated, deceptive, or incomplete statements about products, strategies, fees, guarantees, tax outcomes, investment performance, or legal protections.
Compensation Transparency
Clients must be informed when SRG or its representatives may receive fees, commissions, carrier compensation, consulting fees, referral fees, or other economic benefits.
Educational Purpose and Professional Boundaries
SRG may provide financial education and strategy discussion, but does not provide legal, tax, ERISA, fiduciary, accounting, securities, or investment advice unless properly licensed and engaged in writing.
Confidentiality and Privacy
Client personal, financial, business, health, trust, estate, and insurance information must be protected and used only for legitimate business, compliance, and service purposes.
Consumer Protection
SRG will promote fair treatment of consumers and support the protection of individuals and businesses evaluating life insurance, annuity, disability, long-term care, retirement, and wealth-planning strategies, consistent with insurance ethics principles.
Personal Conduct
SRG personnel must avoid outside activities, personal transactions, gifts, or relationships that could impair judgment or create the appearance of improper influence.
Supervision, Reporting, and Enforcement
SRG will maintain reasonable policies, review procedures, training, and documentation to monitor compliance. Violations must be reported promptly and may result in corrective action, suspension, termination, or referral to regulators where required.
SRG maintains a zero-tolerance position regarding ethical violations, client misconduct, misrepresentation, unauthorized activity, conflicts of interest, or conduct inconsistent with the firm’s professional standards. Any advisor who fails to comply with the firm’s Code of Ethics may be subject to disciplinary action, up to and including immediate termination, subject to applicable law, contractual obligations, and internal review.
Annual Acknowledgment
At SRG Consulting PLLC, every advisor is required to complete an annual review of the firm’s Code of Ethics beginning from the date of engagement with the company. Advisors must also sign a formal acknowledgment confirming that they have reviewed, understand, and agree to adhere to SRG Consulting PLLC’s corporate ethics standards, client conduct expectations, confidentiality requirements, and compliance policies.