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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Uwharrie Investment Advisors is a subsidiary of Uwharrie Capital Corp and an affiliate of Uwharrie Bank.

Retail brokerage and insurance products are offered through Private Client Services, LLC (2225 Lexington Rd., Louisville, KY 40206; phone: 502-451-0600). FINRA and SIPC member. Operates under the marketing name of Uwharrie Investment Group. Private Client Services, LLC and Uwharrie Capital Corp., along with their affiliates and subsidiaries are separate, distinct, and unaffiliated entities.

Securities and insurance offered are not bank deposits, not insured by the FDIC or any other state or federal government agency, not obligations of or guaranteed by any financial institution, and are subject to risk and may lose value. Risk(s) will vary depending on investments 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)