Practice Set-up/Management Systems Products Custody/Clearing Marketing Succession Planning
Open architecture. While many broker-dealers offer narrow definitions of what it means to them, our trio of broker-dealers is focused on what it can mean to you. We understand you have a vision to take your business to a better place, and that you need the freedom to get there, your way. That’s why we offer the unparalleled options, resources and flexibility that enable us to define our open architecture in every possible way. Even yours.
Practice Set-up/Management
When it comes to the business model and practice setup you prefer, we’re open to what works for you. Fee-based, commission-based, hybrid…independent or corporate registered investment advisor (RIA)…advisors of every stripe thrive here. With us, you can maintain your existing management hierarchy as well as your rates and services. You can choose to use our name, or keep your own DBA and brand. In short, we’ll give your business the support you need, without any of the restrictions you don’t.
Systems
Chances are you’ve built your business using CRM software and financial planning tools that work the way you like. Join us, and you can bring them with you. Unlike broker-dealers who restrict the tools available to you, or can’t integrate with what you’re using, you can use virtually any system, and we integrate with some of the most popular applications in the industry. If you’re interested in implementing something new or upgrading what you have, our leverage may yield you a significant discount.
Products
Rather than limit your choices, we give you the flexibility to access financial products from hundreds of companies. We offer more than 15,000 mutual funds, including over 7,000 in our elite partner program. We also offer access to a broad range of variable annuity, insurance, retirement planning, and alternative investment products. And unlike most independent broker-dealers, when it comes to fixed-income products, we give you the option of using multiple fixed-income inventory systems at no cost to you. Of course, the openness of the product choices you have with us is matched by our due diligence in ensuring our offerings meet high-quality standards.
Custody/Clearing
Our open architecture extends to our custody and clearing options. Unlike many broker-dealers, we allow for a broad array of specialty managers and outside custodianships, while maintaining a dual-clearing relationship with Pershing and NFS. So the custody relationships you have now can most likely continue working for you when you join us. And if you’re looking for the advantages of clearing through an industry leader, our close integration with Pershing affords you access to their unrivaled tools to help you manage clients’ accounts and deliver first-rate service.
Marketing
We’ll help you reach your prospects and customers in the way that works for you best. With us, you can choose to go to market using our name, or your own DBA and brand. We offer you free, highly customizable materials from product sponsors and major third-party providers, as well as a wealth of pre-approved resources through our marketing center. And we can fully support any marketing plan and media channel you choose to use, with appropriate compliance input.
Succession Planning
True openness is about having options at every stage of your career, including the day you’re ready to hand your business off to someone else. We offer a choice of succession and continuity programs that can be customized to fit your specific needs and business model. The custody structure we maintain makes your business highly portable. And our clearing through Pershing opens up a very broad set of options as you look to sell your business.
