Our Broker/Dealer

The investment professionals are supported by additional administrative, operations and client service personnel at our broker/dealer-RIA, Commonwealth Financial Network, and their clearing firm, National Financial Services, LLC (a Fidelity Investments Company).

 

What is a broker/dealer–RIA?

A broker/dealer–RIA 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.

 

Why Commonwealth Financial Network®?

As the nation’s largest privately held independent broker/dealer–RIA with $1 billion in annual revenues*, Commonwealth has the scale, stability, and resources to help us deliver the solutions our clients need. With a staff of approximately 810, Commonwealth helps approximately 1,710 independent advisors serve their clients and manage total account assets of approximately $114.4 billion.**

The fact that we’ve chosen to work with Commonwealth means that our firm remains independent and free to act in your best interest, without any pressure to promote proprietary products or strategies. 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.

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 us help you

Commonwealth goes far beyond what’s required of a broker/dealer.  The entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It’s that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.

  • Investment choice. Commonwealth offers us robust, independent market research and a wide universe of third-party investment options—from individual stocks and bonds to mutual funds, exchange-traded funds, alternative investments, managed accounts, and retirement plans. Our access to Commonwealth’s expert, impartial guidance and a diverse range of products helps ensure that we remain free to operate in your best interest and to make recommendations based on your financial objectives, personal investment style, and risk tolerance.

  • Service. The firm's advisor-to-staff ratio is one of the best in the industry. This means staff members answer our calls promptly, execute transactions quickly and accurately, and, in general, offer our 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 second to none in its commitment to safeguarding your privacy and ensuring that your investment data remains secure. From encryption standards to disaster recovery plans and other measures the firm employs, we are confident that the information our clients entrust us with will remain secure.

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Commonwealth Resources

Commonwealth provides a deep bench of subject matter experts to help provide you with the best possible guidance and service, including:

  • Investment portfolio construction: Through the Commonwealth Research team, we can tap into institutional-quality research—seasoned experts who deliver information on the topics that matter most to you, from analysis of the market and economy to asset allocation and portfolio construction.

  • Corporate retirement planning: The Commonwealth Retirement Consulting Services team supports our work with corporate retirement plans. This team of CFP® professionals, AIFs®, and APAs provides us with access to products, resources, and expertise necessary to design a cost-effective and well-performing platform for this essential employee benefit.

  • Executive compensation planning: The Commonwealth Advanced Planning department is a team of professionals with highly specialized knowledge that helps us construct strategies to help maximize the benefits your company provides to its most important team members.

  • Risk management: With nearly two centuries of combined experience in all aspects of risk management, the Commonwealth Insurance department helps us construct plans for protecting your most important assets: life, health, and finances. Through this collaborative approach, you can feel confident that we’re doing everything possible to help you find the best strategy for your unique situation.

  • Estate and tax planning: The Commonwealth Advanced Planning department is a team of professionals with highly specialized knowledge that helps us construct strategies to help preserve your assets and ensure that they go to the people and causes you choose. They also help us develop plans to help minimize your tax burden.

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If you'd like to know more

We'd be glad to talk with you further or answer any questions you may have about our affiliation with Commonwealth. Please feel free to give us a call.

 

*As of 01/19/17

**As of 12/31/16

 

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Our Broker/Dealer