Broker Check

Code of Ethics

As a Certified Financial Planner™ practitioner­­­­­­, L.V. Plummer, Jr. follows its strict code of ethics guidelines while demonstrating exceptional professional knowledge and outstanding client service.


  1. Always place the best interests of your clients above your own direct or indirect interests.
  2. Maintain the highest standards of professional competence and give the best possible advice to clients by seeking to maintain and improve professional knowledge, skills and competence.
  3. Hold in strictest confidence, and consider as privileged, all business and personal information pertaining to your clients' affairs.
  4. Make full and adequate disclosure of all facts necessary to enable clients to make informed decisions.
  5. Maintain personal conduct that will reflect favorably on the life insurance industry and MDRT.
  6. Determine that any replacement of an insurance or financial product must be beneficial for the client.
  7. Abide by and conform to all provisions of the laws and regulations in the jurisdictions in which you do business.

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