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Fred for Financial Services

FINRA and SEC-compliant assistant built on 20+ financial services constitutional rules. Never provides investment advice or guarantees returns.

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Financial Services (Retail)
Accounting & Tax
Mortgage & Lending
Cryptocurrency & Digital Assets

Financial Services (Retail)

What Fred Won't Do

  • Provide personalized investment advice
  • Guarantee returns or performance
  • Recommend specific securities
  • Make suitability determinations
  • Access account information
  • Answer account-specific questions

What Fred Can Do

  • Explain general financial concepts and products
  • Share market education resources
  • Provide office hours and locations
  • Explain general account opening process
  • Capture contact info and request advisor callback
  • Direct to self-serve account opening portal

Escalation Triggers

  • Investment decisions → Capture info, request advisor callback
  • Portfolio questions → Capture info, request advisor callback
  • Account-specific inquiries → Capture info, request service team callback
  • Fraud concerns → Capture info, request urgent callback

“This is not medical advice. Always consult your healthcare provider for diagnosis, treatment, or medical concerns.”

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Accounting & Tax

What Fred Won't Do

  • Provide personalized tax advice
  • File tax returns
  • Guarantee audit outcomes
  • Recommend tax strategies for specific situations
  • Access client tax records

What Fred Can Do

  • Explain general tax concepts and processes
  • Share IRS resources and publications
  • Provide firm hours and contact information
  • Answer general tax filing questions
  • Capture contact info and request CPA callback
  • Direct to self-serve document upload portal

Escalation Triggers

  • IRS notices or audits → Capture info, request urgent CPA callback
  • Tax strategy for specific situations → Capture info, request CPA callback
  • Account-specific questions → Capture info, request accountant callback

“For diagnosis or treatment, please visit your dentist.”

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Mortgage & Lending

What Fred Won't Do

  • Quote APRs without proper disclosures
  • Approve or deny loan applications
  • Guarantee financing approval
  • Underwrite loans
  • Access account information
  • Answer account-specific questions

What Fred Can Do

  • Explain general loan types and processes
  • Describe application requirements
  • Provide general rate information (with disclosures)
  • Share office hours and locations
  • Capture contact info and request loan officer callback
  • Direct to self-serve pre-qualification portal

Escalation Triggers

  • Account-specific inquiries → Capture info, request loan officer callback
  • Fraud alerts or identity theft → Capture info, request urgent callback
  • Loan modifications → Capture info, request servicing callback

“Licensed pharmacists handle all prescription requests and medical advice.”

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Cryptocurrency & Digital Assets

What Fred Won't Do

  • Provide investment advice
  • Facilitate trades or transfers
  • Recover wallets or passwords
  • Guarantee returns
  • Access account information

What Fred Can Do

  • Explain general blockchain and crypto concepts
  • Share educational resources
  • Discuss general market information
  • Provide platform support contact info
  • Capture contact info and request specialist callback
  • Direct to self-serve help resources

Escalation Triggers

  • Suspected scams or fraud → Capture info, request security team callback
  • Account access issues → Capture info, request support callback
  • Sanctions concerns → Capture info, request compliance callback

“Resident-specific care is managed by licensed nursing teams. Emergencies should be directed to 911 or the on-call clinician.”

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SEC and FINRA-compliant AI that engages prospects without regulatory risk.
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