What is a broker/dealer?
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 one, and only one, broker/dealer to partner with on your behalf.
Why Commonwealth Financial Network® ?
The fact that we’ve chosen to work with Commonwealth Financial Network® (Commonwealth), 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 known as wirehouses, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.
Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they’re needed and to act in the best interests of its financial advisors and their clients—not shareholders.
How Commonwealth helps me help you
Commonwealth goes far beyond what’s required of a broker/dealer; the entire organization is built around helping advisors do whatever it takes to serve their clients. It’s that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for my firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.
- Investment choice. Your financial objectives, personal investment style, and risk tolerance are the only criteria that influence our recommendations to you. Commonwealth offers us access to a virtually limitless selection of third-party investment vehicles and truly objective, independent research from its in-house analysts, helping to ensure that we have the freedom to operate in your best interest.
- Service. The firm’s advisor-to-staff ratio is one of the best in the industry. This means staff members answer my calls promptly, execute transactions quickly and accurately, and, in general, offer my firm the same first-class treatment we strive to give you.
- Technology. Commonwealth’s technology platform is a critical component in our ability to provide you with first-class service and support. Its integrated Web-based systems allow us to more efficiently manage your portfolio and your overall financial picture.
- Security. Commonwealth is committed to safeguarding your privacy, as well as the security of your investment data. The firm’s Technology team continuously strives to enhance security measures, keeping abreast of new technologies and safeguards and incorporating them when appropriate to help protect your data.
If you’d like to know more
The information contained herein is based upon sources believed to be true and accurate, but no guarantee is made to the completeness and accuracy of this information. Please consult statements provided by individual custodians or product sponsors for complete information. Past performance is not indicative of future results. Nothing contained herein should be construed as legal or tax advice, and should not be relied upon for such.