At the Wealth Equity Certified Licensed Financial Services Sales Professional™ (WECA™) Institute, we understand that trust is the cornerstone of any successful financial relationship. Our WECA™ designation signifies a professional's deep commitment to ethical conduct, expertise, and a client-first approach, particularly in championing financial equity for all. Should you, as an investor, have a concern or complaint regarding the conduct of a WECA™-designated financial advisor, we want you to know that your voice is heard, and your protection is paramount.
Our Pledge to You: A Transparent and Accountable Complaint Process Ensuring Client Protection and Resolution
The WECA™ Institute is dedicated to upholding the integrity of our designation and ensuring accountability for all our professionals. Our investor complaint process is designed to be transparent, fair, and efficient, reflecting our unwavering commitment to your well-being.
Accessible Communication: We ensure that you can easily submit your complaint through our dedicated online platform or other accessible channels. Your feedback is crucial for maintaining our high standards.
Prompt Acknowledgment: Upon receiving your complaint, you will receive a prompt acknowledgment within 1-2 business days, confirming that your concerns have been noted and outlining the next steps in our process.
Thorough and Impartial Investigation: Every complaint received will undergo a fair, comprehensive, and objective investigation. Our dedicated team will meticulously review all provided information, relevant records, and conduct necessary inquiries to ascertain the facts and ensure adherence to the WECA™ Code of Ethics and applicable industry standards.
Clear Communication and Resolution: We commit to keeping you informed throughout the investigation with regular updates. Once our review is complete, we will communicate our findings and any proposed resolution clearly and in writing, explaining the rationale behind our decisions.
Commitment to Accountability: Where a WECA™ designee's conduct is found to be in violation of our ethical standards or Code of Conduct, the WECA™ Institute will take appropriate disciplinary action, which may include sanctions, additional education requirements, suspension, or revocation of the designation, to ensure accountability and protect the integrity of the profession.
Guidance on Further Recourse: Should you not be satisfied with our resolution, we will provide clear information regarding your options for further escalation, including relevant external regulatory bodies or dispute resolution services, as outlined in our comprehensive Investor Complaint Process.
Your trust is our most valued asset. The WECA™ Institute is steadfast in its commitment to addressing your concerns seriously and working diligently towards resolutions that reinforce the highest standards of ethical practice in wealth management.