George K. Baum & Company
Investor education and protection is one of the top goals of the regulators governing the financial services industry. "Client First" is the premier value found in the George K. Baum & Company Mission Statement.
One of George K. Baum & Company's "Guiding Principles" is "Uncompromising Standards." That principle states, "The pre-eminent reputation and integrity of the firm are paramount in our ability to serve our clients. We will maintain the highest ethical standards, both personally and professionally." These are not just words to George K. Baum & Company and its employees. The Firm expects all of its employees to honor and act in accordance with both this guiding principle and the Firm's written policies and procedures. George K. Baum & Company's principal securities regulator is the United States Securities and Exchange Commission ("SEC ") and its principal securities self-regulators are the Financial Industry Regulatory Authority ("FINRA") and the Municipal Securities Rule Making Board ("MSRB"). George K. Baum & Company diligently will take all reasonable and appropriate steps to conduct its business consistent with the highest standards of commercial honor and just and equitable principles of trade (FINRA Rule 2010 and MSRB Rule G-17) and in accordance with all applicable laws, rules and regulations. The trust and protection of our customers are of paramount importance to George K. Baum & Company. Effective supervision and compliance are integral parts of achieving the Firm's goals and serving its customers well. Please direct any compliance-related questions or concerns to Dana Bjornson, our Chief Compliance Officer.
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