Investment Advisory Services

Fee Based Planning for the Consumer

Our company offers both investment advisor representatives and independent registered investment advisors to assist you with setting up an asset management portfolio.

The basic difference between the two is that the advisor representative conducts business under the broker dealer firm’s investment advisor registration/ An Independent registered investment advisor has registered his own separate and distinct investment advisory practice but is also a registered representative with our broker dealer firm for purposes of accessing other investment products and participating in other investment activities.

There is yet another type of investment advisor which is an outside investment advisor who is not registered with our broker dealer firm but who has been approved by our broker dealer firm to work on a referral basis with some of our registered representatives, who then take on the role of solicitors. They may be referred to as third party managers, wrap managers, institutional advisors, etc., They too are registered investment advisors and have been approved by our broker dealer firm to conduct business within certain guidelines and limitations.

WE ALSO COOPERATE fully with certain other Broker Dealer Firms/Institutionals and have effected written Agreements with them, detailing the manner in which we conduct business through them. They are:

• TDAMERITRADE INSTITUTIONAL

Advisory Agreements, Forms and Disclosures

Click on Help & Support above and then click on PDF or MSWord Forms for the necessary forms and applications. Then click on the Resources menu button to find an investment advisor to assist you with opening an asset management account with our broker dealer firm.

If you need a copy of Acrobat Reader to download the forms or to complete them on line and submit, please click here – ADOBE ACROBAT READER

Added Value to the Consumer

Our Advisory Services offers a virtually unlimited list of capabilities because of our vast relationships with other third party managers and other cooperating broker dealers. Listed below is a comprehensive list of mutual funds we offer our clients. Please contact us for more info.

SOME FUND FAMILIES USED IN OUR PORTFOLIOS:

• State Street Research
• SteinRoe Mutual Funds
• Twentieth Century
• Fidelity Funds
• Aegon
• ABN/AMRO

• Valley Forge
• Putnam
• TIAA-CREF
• USAA
• Value Line
• Van Eck Global

• Warburg Pincus Funds
• Neuberger Berman
• Smith Barney
• Rydex
• Safeco
• MFS, and many more.