Compliance Culture
Wooster Corthell Wealth Management, Inc. has been an Investment Adviser registered with the Securities and Exchange Commission since 2001. * Our Fiduciary Duty requires that we always act in our clients’ best interests.
Wooster Corthell cultivates a culture of compliance by maintaining a robust firm wide program. This is done in multiple ways. Pursuant to Rule 204A-1 of the Investment Advisers Act of 1940, Wooster Corthell maintains a Code of Ethics, which all employees are required to adhere to. Employees are also required to follow additional policies and procedures. Staff training is held throughout the year on various compliance related topics.
For detailed information about our compliance processes, please view our firm disclosures:
* Registration does not imply any level of skill or training. Additional information about us is available on the SEC’s website at www.adviserinfo.sec.gov.