Trust and Compliance

Trust and Compliance

Clear relationships. Verifiable information. Controlling documents.

George Wealth Management believes trust begins with clear communication about who provides each service, how to verify the professionals involved, and which agreements and disclosures control the relationship.

Legal and regulatory relationships

A financial professional may provide brokerage services, investment advisory services, or both, depending on the professional's registrations and the client relationship. Financial planning and investment management may be separate services with separate agreements and fee treatment. Cetera is under separate ownership from any other named entity.

Accounts, custody, and clearing

George Wealth Management is not itself the custodian of client assets. The clearing or custody firm depends on the account, program, and services selected and is identified in the applicable agreements, disclosures, and account statements.

Clients should use those controlling documents to confirm where assets are held, which firm carries or services an account, and what protections and limitations apply. SIPC protection does not protect against market loss.

George Wealth Management identity

George Wealth Management is the trade name, or DBA, George F. Vieth uses for his financial-services practice. It is not the broker-dealer or the registered investment adviser. Securities and investment advisory services are provided through the Cetera entities identified above and in the applicable agreements and disclosures.

George F. Vieth has worked in financial services since 1986. That date describes George's professional experience and should not be interpreted as the founding date of George Wealth Management.

Other business and compensation relationships

Some activities associated with George are separate from brokerage and investment advisory services. Understanding that distinction helps identify which entity provides a service, which agreement applies, and how compensation may be received.

George's current BrokerCheck report contains the fuller list of reported outside business activities. Clients and prospects may review that record independently and ask which entity provides a particular service before proceeding.

Pricing transparency

Financial planning and investment management are separate services. Each has its own scope, agreement, and fee treatment. The Financial Planning Fees page explains GWM's planning options, the applicable investment-management fee schedule, additional-cost considerations, and the circumstances in which eligible investment-management fees may be credited against eligible planning fees.

Privacy and information handling

Information is handled according to applicable agreements, privacy notices, legal requirements, and the policies of the firms and service providers involved. Information may be used or shared as permitted or required for servicing, supervision, regulatory, operational, or legal purposes.

Website forms and ordinary email may not be appropriate for transmitting sensitive personal or account information. Clients should use the secure communication methods provided for their relationship.

How to verify us independently

These links lead to records maintained by Cetera, FINRA, the SEC, or SIPC. Use them to review registration information, relationship summaries, disclosure brochures, and investor-protection information independently.

Questions about these relationships?

Before engaging a service, ask which entity provides it, which agreement applies, how the professional is compensated, where assets are held, and which disclosure document controls.