Our Supporting Networks
We pride ourselves on our independence. We are the alternative to working with a "Wall Street" style, corporate firm. Our decisions are made in our conference room with our clients, not in a board room full of corporate managers.
Although we believe in keeping our decision making local, we need to access larger entities in order to bring in the best resources to position our clients to pursue their goals. Due to our independent structure, our clients may hear other company names mentioned or see other company names on correspondence. The beauty of our system is that these other companies do not dictate our choices, but offer us support to help provide individual services with the efficiency of large scale operations.
A couple of our major supporting companies are AdvisorNet, based in Minneapolis, MN and Cetera Advisor Networks, based in El Segundo, CA. We access AdvisorNet to help us deliver the best technology and resources for our practice. AdvisorNet is also a great resource for our insurance and annuity research needs. Our relationship with AdvisorNet provides us with the ability to consult with full-time insurance specialists to ensure we are doing the best we can for our clients.
Our Broker-Dealer: Cetera Advisor Networks
We are affiliated with Cetera Advisor Networks, one of the premier broker-dealers in the industry. As our broker-dealer, they are responsible for executing trades on your behalf. Like all broker-dealers, they must undergo regular auditing, and are required to meet specific net capital requirements to ensure it can meet its obligations to investors like you.
But their support for our relationship goes well beyond its function as trade executor. Our affiliation means that we are not held to a sales quota or tied to selling only proprietary products. We have the independence and freedom to recommend the financial solutions that best suit your needs, ensuring your objectives are what drive all decisions, while Cetera Advisor Networks’ network of people and resources help us pursue your unique goals and vision for the future.
Our Custodian: Pershing
While Cetera Advisor Networks helps supervise and facilitate the trading for your investments, those assets are held by Pershing LLC.
Pershing LLC is a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank, and one of the world’s leading providers of securities services. Pershing custodies brokerage accounts for Cetera Advisor Networks, including brokerage accounts with IRAs, and provides related administrative services, including settlement of purchases, tax and account record keeping, monthly statements, confidentiality and data integration.
Like Cetera Advisor Networks, Pershing must meet certain net capital requirements, and is subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation and protection of investors’ assets.
Our Most Important Connection: With You
While the firms behind us play important roles in our day-to-day fulfillment of your needs, the most important relationship we have is undoubtedly with you. We work with these firms to make it easier for us to work for you. Anytime you would like more information about the above firms, please do not hesitate to ask. We want you to feel confident that you understand, to your satisfaction, how we work with and through these firms, why we have chosen to work with Cetera Advisor Networks, and the absolute priority both Cetera Advisor Networks and we place on our relationship with you.