FREQUENTLY ASKED QUESTIONS

What is a Registered Investment Advisor (RIA)?

A firm who is registered with either the Securities and Exchange Commission (SEC) or the relevant State authority based on assets under management.  We are currently registered with the Ohio Department of Commerce, Division of Securities as well as the Financial Industry Regulatory Authority (FINRA).  Being an RIA means that we are held to high fiduciary standards that require us to always put the clients’ best interest first.  We are also subject to regulatory audits to ensure we are compliant.

Is every advisor at the firm a Registered Advisor?

Yes, both Chris and Stephanie are registered through FINRA. Forms ADV Part 2B and CRD numbers available upon request.

Is BPW compliant with all Ohio/FINRA/SEC mandates?

Yes.  We have engaged a compliance consulting firm that oversees our policies/procedures and ensures we remain in compliance with all applicable mandates.

Does your firm have proper insurance policies in place?

BPW has Errors and Omissions Liability and Cyber Liability policies through Lloyds of London.

How is your technology monitored?

BPW engages a specialized RIA information technology firm that provides 24/7/365 security and monitoring.  Additional details available upon request.