What does it mean to be CEFEX Certified?

Learn more about the CEFEX Certification assessment process

Learn more about what a CEFEX Certification means to you

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Advisory products and services offered by Investment Advisory Representatives through Uwharrie Investment Advisors, a Registered Investment Advisor and subsidiary of Uwharrie Capital Corp and an affiliate of Uwharrie Bank.

Retail brokerage and insurance products offered by Registered Representatives through Private Client Services, LLC. FINRA and SIPC member. Private Client Services and Uwharrie Capital Corp along with its affiliates and/or subsidiaries are separate, distinct, and unaffiliated entities. It is important to note that the securities and insurance offered are: NOT BANK DEPOSITS AND NOT INSURED BY THE FDIC OR ANY FEDERAL GOVERNMENT AGENCY – NOT OBLIGATIONS OF OR GUARANTEED BY ANY FINANCIAL INSTITUTION – SUBJECT TO RISK AND MAY LOSE VALUE. Risk(s) will vary depending on investment made by the client. A Uwharrie Investment Advisor Representative will review these risk(s) with the client prior to investing.

The Centre for Fiduciary Excellence (“CEFEX”) is a third party organization that provides independent assessment of investment advisors and other financial intermediaries and their adherence to fiduciary best practices. The assessment is conducted by an independent Accredited Investment Fiduciary Analyst (“AIFA®”), and entails an on-site and off-site assessment of the firm’s operations, specifically with regards to its investment management processes. If the AIFA® finds the firm’s processes in good order, the assessment is reported to a CEFEX Registration Committee comprised of fiduciary and subject matters experts for further review. If the Committee agrees with the AIFA®’s findings, it awards the firm the right to use the CEFEX designation. The assessment process is optional for financial intermediaries. CEFEX and Uwharrie Investment Advisors, Inc., along with their respective affiliates and subsidiaries, are separate, distinct, and unaffiliated entities.

Customer Disclosures and Client Relationship Summary (Form CRS)