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 has also retained Mac Stevens CPA, a highly experienced tax professional to assist the firm in assessing client tax scenarios. Mac has over 30 years of executive experience with KPMG-Billings and First Interstate BancSystem Inc. In addition, we have associated ourselves with appropriate professionals to assist our firm with its compliance efforts and legal matters.
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. Nick serves on the TradePMR Advisory Board.
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. First Clearing 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 Series 65 registered investment advisor representative. 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 licensed investment advisory representative for Cladis Investment Advisory, LLC. She is also a Certified Trust and Financial Advisor, holding this credential for over five years. 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 20 combined years of experience in the banking, insurance and finance industry.