Our RIA - Broker / Dealer

What is a Broker/Dealer?

A broker/dealer is a financial firm that a securities-licensed investment professional must affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) oversees the regulation of broker/dealers and delegates certain supervisory responsibilities to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to affiliate with a broker/dealer of our choosing to serve clients like you.

Why Commonwealth Financial Network^®?

The fact that we've chosen to work with Commonwealth Financial Network^®, an independent broker/dealer, means that our firm remains independent, too. We are free to act in your best interest, and without pressure to promote a particular product or strategy. It's a model that differs from that of some other larger financial firms, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.