Commonwealth Financial Network®
GOING BEYOND WHAT’S REQUIRED
As a registered representative, your financial advisor is required by the Financial Industry Regulatory Authority (FINRA) to affiliate with a Registered Investment Adviser–broker/dealer to process investment transactions on your behalf. And financial advisors who wish to provide investment advisory services to their clients are required to associate with an investment adviser registered with one or more states or the Securities and Exchange Commission (SEC). Commonwealth, however, has a more than 35-year history of exceeding what’s merely required and doing whatever it takes to help independent advisors provide their clients with the best possible guidance and the prompt, personal service they expect and deserve.
The infrastructure Commonwealth has in place to help your advisor do just that includes:
- Access to a comprehensive selection of investment choices and truly objective research, allowing your advisor the freedom to make recommendations based solely on what’s in your best interest, free from proprietary product pressures. From stocks, bonds, and mutual funds; unit investment trusts; real estate investment trusts; and fixed and variable annuities to managed investment programs and separately managed accounts; life and long-term care insurance; limited partnerships; CDs and money market accounts; retirement plans; alternative investments; and more, you have access to whatever you need to pursue your financial objectives.
- A technology platform that makes it easy for your advisor to manage your portfolio and maintain a comprehensive, holistic picture of your overall financial life. Through your advisor’s website, you can also have access to your portfolio and see much of the same information your advisor sees.
- An advisor-to-staff ratio that is among the highest in the industry, which allows us to answer advisors’ calls promptly and execute transactions quickly and accurately.
EDUCATION THAT KEEPS YOUR ADVISOR IN THE KNOW
Through conferences, seminars, and online training opportunities, we help keep your advisor abreast of the ever-changing, increasingly complex financial industry, so he or she can make the best recommendations regarding your financial future.
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. Visit the Commonwealth site to learn more
This communication strictly intended for individuals residing in the states of AL, AZ, CA, CO, CT, DC, FL, GA, IA, ID, IL, IN, KY, LA, MA, MD, ME, MI, MO, NC, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV. No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services. Investments are not FDIC- or NCUA-insured, are not guaranteed by a bank/financial institution, and are subject to risks, including possible loss of the principal invested. Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA, SIPC, a Registered Investment Advisor.