CLIENT COMPLAINT PROCEDURES
OUR COMMITMENT TO YOU
At Financial Serenity, LLC, we are committed to providing exceptional service and maintaining the highest standards of integrity in all our client relationships. We value your feedback and take all concerns seriously. This document outlines our procedures for addressing client complaints in a fair, prompt, and thorough manner.
HOW TO FILE A COMPLAINT
Step 1: Direct Communication
We encourage you to first discuss any concerns directly with your advisor, Ian Wright. Many issues can be resolved quickly through open communication.
Contact Information:
- Phone: +1 6822006778
- Email: hello@financialserenity.co
- Address: 5525 County Road 605, Burleson, TX 76028
Step 2: Formal Written Complaint
If your concern is not resolved through direct communication, or if you prefer to file a formal complaint, you may submit a written complaint using any of the following methods:
Online Complaint Form
Visit our website at www.financialserenity.com and complete our secure online complaint form.
Send a detailed email to: hello@financialserenity.co
Phone
Call our complaint hotline: +1 6822006778
What to Include in Your Complaint
To help us address your concern effectively, please provide:
- Your name and contact information
- Account number (if applicable)
- Date(s) of the incident or issue
- Names of any Financial Serenity personnel involved
- Detailed description of your concern
- Copies of relevant documents
- Your desired resolution
- Any previous communication regarding this matter
OUR COMPLAINT HANDLING PROCESS
Within 24 Hours
- We will acknowledge receipt of your complaint
- Assign a unique complaint number for tracking
- Designate a qualified person to investigate
Within 5 Business Days
- Begin formal investigation of your complaint
- Contact you if additional information is needed
- Notify relevant personnel and supervisors
Within 15 Business Days
- Complete investigation
- Provide you with our findings and proposed resolution
- If more time is needed, we will notify you of the delay and expected completion date
Resolution and Follow-Up
- Implement agreed-upon resolution
- Follow up to ensure your satisfaction
- Document all actions taken
ESCALATION PROCEDURES
Internal Escalation
If you are not satisfied with the initial response:
- Chief Compliance Officer Review: Request review by our Chief Compliance Officer
- Principal Review: Request review by Ian Wright, Principal of Financial Serenity, LLC
- Independent Review: In complex cases, we may engage an independent third party for review
External Options
If you remain unsatisfied after exhausting our internal procedures, you have the right to:
File a Complaint with Regulators
- SEC: Securities and Exchange Commission
- Online: www.sec.gov/oiea/investor-alerts-bulletins.html
- Phone: 1-800-SEC-0330
- State Regulator: Texas State Securities Board
- Online: www.ssb.texas.gov
- Phone: (512) 305-8300
Arbitration
Per your advisory agreement, disputes may be subject to binding arbitration through:
- FINRA Arbitration: www.finra.org/arbitration-mediation
- American Arbitration Association: www.adr.org
TYPES OF COMPLAINTS WE HANDLE
Service-Related Complaints
- Communication issues
- Responsiveness concerns
- Meeting scheduling problems
- Report accuracy or timing
Investment-Related Complaints
- Portfolio performance questions
- Investment strategy concerns
- Fee disputes
- Transaction issues
Administrative Complaints
- Billing inquiries
- Account maintenance issues
- Document requests
- Technology problems
YOUR RIGHTS
As our client, you have the right to:
- File a complaint without fear of retaliation
- Receive prompt acknowledgment of your complaint
- Have your complaint investigated thoroughly and fairly
- Receive regular updates on the status of your complaint
- Appeal our decision through internal escalation procedures
- Seek external resolution through regulatory or legal channels
- Maintain confidentiality throughout the process
RECORD KEEPING
We maintain comprehensive records of all complaints, including:
- Original complaint documentation
- Investigation notes and findings
- Communication records
- Resolution details
- Follow-up documentation
These records are retained in accordance with SEC requirements and are available for regulatory examination.
PREVENTION AND CONTINUOUS IMPROVEMENT
Regular Review
- We review all complaints monthly to identify patterns
- Implement process improvements based on feedback
- Conduct annual review of complaint procedures
- Provide additional training when needed
Client Feedback
- Annual client satisfaction surveys
- Regular check-ins during client meetings
- Open-door policy for informal feedback
- Continuous monitoring of service quality
NO RETALIATION POLICY
Financial Serenity, LLC strictly prohibits retaliation against any client who files a complaint in good faith. We are committed to maintaining positive client relationships regardless of any complaints filed.
CONTACT INFORMATION
Primary Complaint Contact
Alternative Contact
REGULATORY OVERSIGHT
Financial Serenity, LLC is registered with the Securities and Exchange Commission as an investment adviser. Our registration and complaint handling procedures are subject to SEC oversight and examination.
ACKNOWLEDGMENT
By maintaining an advisory relationship with Financial Serenity, LLC, you acknowledge that you have received and understand these complaint procedures. We encourage you to keep this document for your records.
QUICK REFERENCE
We are committed to addressing your concerns promptly and fairly. Your satisfaction and trust are essential to our mission of transforming financial stress into financial serenity.
Questions about this procedure? Contact us at +1 6822006778