We Act in Your Best Financial Interest at All Times
Cladis Investment Advisory, LLC, as an investment advisor, is a fiduciary, obligated by law to act in its clients’ best financial interests at all times. We are registered with and regulated by the Office of the Commissioner of Securities and Insurance, Montana State Auditor.
We have created and adhere to a Code of Ethics which sets forth ethical standards for providing asset management services to our clients. Not only does Cladis Investment Advisory, LLC staff possess important experience and knowledge in investment portfolio management, we pride ourselves in providing excellent customer service.
The firm has strategic partners to provide effective and efficient account management, transaction clearing and asset custody through TradePMR, Inc. and Wells Fargo Clearing Services, LLC.
Cladis Investment Advisory, LLC is committed to protecting and safeguarding its clients’ information. We have implemented policies and procedures designed to safeguard information including requiring partners and providers by contract to implement and maintain such safeguards as well.
Brokerage services are offered through TradePMR, Inc, member FINRA/SIPC. TradePMR, Inc., located in Gainesville, Florida, provides brokerage, trading and account management services to independent registered investment advisors.
TradePMR, Inc. does not hold or take possession of client funds or securities. TradePMR, Inc. has entered into an agreement with Wells Fargo Clearing Services, LLC, member FINRA/SIPC, to execute and clear securities transactions for all accounts. Wells Fargo Clearing Services, LLC will carry and maintain, known as custody, these accounts.
Uninvested cash balances are either held in an interest bearing deposit account which is FDIC insured, or, if available, a money market mutual fund, which is SIPC insured.
Nick Cladis, owner of Cladis Investment Advisory, LLC, is a registered investment advisor representative of the firm. Nick has been in the financial services industry since 1973. Prior to launching Cladis Investment Advisory, LLC, Nick was employed by Piper Jaffray and Company, Paine Webber, which was subsequently acquired by UBS, and Capstone Wealth Management.
Tracy Hawbaker is a registered investment advisor representative of Cladis Investment Advisory, LLC. She is also a Certified Trust and Financial Advisor, holding this credential since 2005. The CTFA is a certification issued by the Institute of Certified Bankers to recognize individuals who have competence in the trust and wealth advisory field. In 2012, Tracy also completed the Accredited Wealth Management AdvisorSM designation from the College for Financial Planning. She has over 25 combined years of experience in the banking, insurance and finance industry.
Cody Dutton is a registered investment advisor representative of Cladis Investment Advisory, LLC. He is also a 2019 Level II CFA® Program Candidate and is a candidate for CFP® Certification. Cody was previously employed by UBS Financial Services where he worked as part of a nationally recognized institutional consulting group.