Client Complaint Procedures
HollisWealth takes client complaints very seriously. At HollisWealth, our goal is to provide every client with a comfortable and financially gainful investment experience. If you have concerns regarding your account(s), HollisWealth has developed the following complaint procedures in order for us to address your concerns in a timely manner:
Step 1 – Submission of Your Complaint
When submitting a complaint, it is important to include a few key items regarding your account information. We have prepared a list of suggested items to be included in your correspondence as follows:
➢ Name of your Advisor or name of applicable HollisWealth Staff
➢ Your account number(s)
➢ The details of your complaint and all applicable supporting documentation
➢ Your contact information
We request you submit a signed letter to:
VP & Head of Retail Compliance
1 Adelaide Street East
Alternatively, if you have any questions, please contact us at:
Toll Free Number: 800-301-6745 or 416-350-5104
Email Address: firstname.lastname@example.org
Step 2 – Acknowledgement of Your Complaint
Once your complaint has been received, we will release a letter to you acknowledging receipt. The Acknowledgement Letter will provide a summary of our investigation procedures and the name and contact information of the Complaint Officer assigned to investigate your concerns.
Step 3 – Release of Our Findings
Upon completion of our review, we will release to you a detailed letter of our findings. As required by industry regulators, our response will be released within 90 calendar days after receipt of the complaint. If a delay occurs we must provide you with a written explanation for the delay and an expected date of completion.
Along with our response, we will provide clients with an industry brochure that outlines alternate methods of dispute resolution available to you.
For more information on available industry resources, please see the following links: