A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.
The fact that we have chosen to work with Commonwealth Financial Network®, an independent Registered Investment Adviser-broker/dealer, means our firm remains independent as well. We are free to act in your best interest without pressure to promote a particular product or strategy. It is a model that differs from some other larger financial firms, whose financial representatives are accountable not just to their clients but also to the parent company that employs them.
Our partnership with Commonwealth offers us access to a team of specialists who assist in our efforts to provide you with the highest level of service. Each of these professionals brings a breadth of industry experience.
We’ll define your clear path forward with trusted advice and guide you through the process. Let’s get started today.