LEGAL & COMPLIANCE
Legal, Compliance and Ethical Standards of George K. Baum Capital Advisors, Inc. ("GKB"):
One of GKB’s “Guiding Principles” is “Uncompromising Standards.” That principle states: “The pre-eminent reputation and integrity of the firm are paramount in our ability to serve our clients. We will maintain the highest ethical standards, both personally and professionally.” These are not just words to GKB and its employees: GKB expects that all of its employees will honor and act in accordance with this guiding principle and also in accordance with GKB’s policies and procedures for its business and employees. The trust of GKB’s customers and GKB’s reputation are of paramount importance to GKB.
GKB diligently will take all reasonable and appropriate steps to conduct its business: consistent with the highest standards of commercial honor and just and equitable principles of trade and in accordance with all applicable laws, rules and regulations.
GKB’s principal securities regulator is the United States Securities and Exchange Commission (“SEC”) (www.sec.gov) and its principal securities self-regulator is the Financial Industry Regulatory Authority (“FINRA”) (www.finra.org).
Effective direct/line supervision and compliance are integral parts of achieving the Firm’s goals and serving its customers.
Some of the services in certain of the transactions referenced in client testimonials were provided by affiliated entities. Opinions expressed in client testimonials may not be representative of other client experiences, and there is no guarantee of future performance or success.
GKB’s Chief Compliance Officer is Dana Bjornson (firstname.lastname@example.org). Please direct any compliance-related questions or concerns to him or to any other member of the GKB Compliance Department.
Disclosures and Other Information:
General Terms & Conditions