2008 Advisor`s Companion

Transcription

08
ADVISOR’S
COMPANION
6TH ANNUAL
RESOURCE
DIRECTORY
A supplement to:
AN INVESTMENT
CHOICE TO MATCH
YOUR CLIENTS’ VALUES.
At TIAA-CREF, we’ve been refining our approach to Socially
Responsible Investing for nearly 30 years, and it is a distinctive
part of our investment offering. We use a rigorous social
screening process and then build a broadly diversified portfolio,
intended to closely match the returns of the Russell 3000®
Index. And because of our nonprofit heritage, we are able to
offer the same low fees that you expect from TIAA-CREF.* Your
clients can balance their financial goals with social responsibility.
It’s what we call the double bottom line.
For more information about SRI investing with TIAA-CREF,
please contact Advisor Services at 888-842-0318, Option 3,
or visit www.tiaa-cref.org/sri.
*Morningstar Direct (February 2007) based on Morningstar expense comparisons by category. You
should consider the investment objectives, risks, charges
and expenses carefully before investing. Please call 888 842-0318, Option 3, or go to www.tiaa-cref.org for a current
prospectus that contains this and other information. Please read the prospectus carefully before investing.
C38107 © 2007 Teachers Insurance and Annuity Association-College Retirement Equities Fund (TIAA-CREF), 730 Third Avenue, New York, NY 10017. TIAA-CREF Individual & Institutional Services,
LLC, and Teachers Personal Investors Services, Inc., Members FINRA, distribute securities products.
FROM THE PUBLISHER
INVESTMENT ADVISOR GROUP
Revmont Park South
1161 Broad Street, Suite 200
Shrewsbury, New Jersey 07702
732-389-8700
Fax 732-389-8701
Circulation Customer Service: 866-324-0294
EDITORIAL
In the current advisor marketplace things continue to change.
However amidst the changes one thing is consistent: Choice.
New investment products and services are created every day,
providing seemingly endless options for today’s advisors. At
Investment Advisor we try to help you navigate through these
choices to make your job easier.
EDITOR-IN-CHIEF
James J. Green
jgreen@investmentadvisor.com
MANAGING EDITOR
Robert F. Keane
bkeane@investmentadvisor.com
ART DIRECTOR
Scott W. Valenzano
svalenzano@investmentadvisor.com
IAG BUSINESS
PUBLISHER
Andrew Sonnenberg
asonnenberg@investmentadvisor.com
We at Investment Advisor conduct our own research and publish
the results monthly. The Advisor’s Companion is a one stop
resource for you to access some of our most valuable research
and listings including Wealth Management Services, Technology,
Software, Broker-Dealer, Custodial Affiliation and more.
We know your time is valuable, and that you look to us to stay
informed in this ever-changing world of investment planning and
advice. The Advisor’s Companion is just a part of our ongoing
effort to meet that need.
ASSOCIATE PUBLISHER
Curt Schwarzkopf
cschwarzkopf@investmentadvisor.com
DIRECTOR OF CLASSIFIED
& REPRINT SALES
Kameka Redley
kredley@investmentadvisor.com
IAG PRODUCTION
DIRECTOR OF PRODUCTION &
PREPRESS OPERATIONS
Keith Huryk
khuryk@wbi.com
CONTENTS
Independent Broker/Dealer Directory . . . . . . . . . . . . . . . . . . . . . . . . .3
Recruitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
Clearing Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
Compliance Consulting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
HIGHLINE MEDIA
PRESIDENT AND CEO
Andrew L. Goodenough
CHIEF FINANCIAL OFFICER & MANAGING
DIRECTOR OF SHARED SERVICES
Thomas M. Flynn
EXECUTIVE VP & GROUP PUBLISHER
HIGHLINE MAGAZINE DIVISION
Thomas A. Fowler
VP & EXECUTIVE GROUP PUBLISHER
FINANCIAL MAGAZINE GROUP
John Whelan
SENIOR VP & MANAGING DIRECTOR
PROFESSIONAL PUBLISHING DIVISION
HIGHLINE CONFERENCE DIVISION
Fee Based Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10
Advisory Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12
Industry Associations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Alternative Investment Partners . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Technology/Software . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14
Portfolio Management and Accounting . . . . . . . . . . . . . . . . . . . . . .17
James M. Keefe
Wealth Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17
Turnkey Asset Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20
ADVISOR’S COMPANION
December 2007
1
A D V I S O R ’ S C O M PA N I O N L I S T I N G S
INDEPENDENT BROKER/DEALER DIRECTORY
B/D DIRECTORY
Advantage Capital Corp. (AIG)
800-235-2237
www.joinacc.com
230 Second Street SE, Suite 200
Cedar Rapids, IA 52401
Tel: (800) 235-4770
www.OfficialAFG.com
Contact: Melissa Darden
Advantage Financial Group (AFG) is a Super
OSJ of National Planning Corporation, member
FINRA/SIPC negotiating some of the highest
possible payouts and assuring a concierge level
of service for our partners. AFG is owned
exclusively by our investment representatives
and financial advisors. That ownership is
provided without capital investment.
Our mission is to provide membership in a
supportive organization that amplifies your
success with exceptional support staff and
resources while celebrating your independence
by sharing in equity ownership of AFG.
Our professionals earn high payouts and
help build wealth for their futures with
equity ownership in our organization.
Together, we share the satisfaction of
freedom, friendship and family.
Cadaret, Grant & Co., Inc.
800-288-8601
www.cadaretgrant.com
Cambridge Investment Research
800-777-6080
www.joincir.com
CFG/H. Beck
11140 Rockville Pike
4th Floor
Rockville, MD 20852-3144
(301)468-0100
www.cfginc.com
Capital Financial Group/H. Beck
is the 2007 Investment Advisor
Broker Dealer of the Year! (Division III)
For over 25 years we have realized that our
business is driven by the producing rep in the
field, not the broker-dealer. We truly treat each
CFG/H. Beck rep as a valued client. All of our
people and services are geared to help CFG/H.
Beck advisors improve their businesses. Come
explore a relationship with a broker-dealer that
values relationships. Call John, Steven or Pat
at 800-333-6884, or visit us at www.cfginc.com.
Centaurus Financial, Inc.
800-880-4234
www.centaurusfinancial.com
Advisors Asset Management
888-883-2663
www.aammanagedmoney.com
AS
COMMITTED
TO
Y
Associated Securities Corp.
800-284-2747
www.associatedsecurities.com
U
Ameritas Investment Corp.
800-335-9858
www.aicinvest.com
O
Ameriprise Financial, Inc.
612-671-3131
www.ameriprise.com
A
RE
g the
S in c e S t a n d a r
d
1979
TO
YOUR CLI
S
U
American Portfolios Financial Svcs.
800-889-3914
www.americanportfolios.com
S e t t in
YO
American General Sec., Inc. (AIG)
800-247-4669
www.agsecurities.com
AS
AIG Financial Advisors, Inc.
800-462-4432
www.aigfa.com
EN
T
THE BROKER/DEALER WHO
PLAYS AT YOUR LEVEL
An average revenue per advisor
that’s among the highest of any
broker/dealer. An unprecedented
nine Broker/Dealer of the Year awards
from Investment Advisor magazine.
And a culture that treats you as you
treat your clients. Experience it for
yourself: contact Andrew Daniels
or Janice Hart at 866.462.3638.
Berthel Fisher & Co. Financial Svc.
800-356-5234
www.berthel.com
Brecek & Young Advisors, Inc.
888-777-1992
www.brecek.com
brokersXpress, LLC
888-280-7030
www.brokersxpress.com
Commonwealth Financial Network® | Member FINRA/SIPC | commonwealth.com
December 2007
3
Century Securities
800-488-7994
www.centurysecurities.com
FSC Securities Corp. (AIG)
800-547-2382
www.joinfsc.com
Lincoln Investment Planning, Inc.
800-242-1421
www.lincolninvestment.com
Commonwealth Financial Network
866-462-3638
www.commonwealth.com
Geneos Wealth Management, Inc.
888-812-5043
www.geneoswealth.com
The Comprehensive Group
800-637-3211
www.thecomprehensivegroup.com
Great American Advisors
800-216-3354
www.gaadvisors.com
LPL Financial Services
800-877-7210
www.joinlpl.com
Contemporary Financial Solutions
800-709-9982
www.advisorcfs.com
GunnAllen Financial
800-713-4046
www.gunnallen.com
Delta Equity Services Corp.
800-649-3883
www.deltaequity.com
Eagle One Investments,
888-867-4391
www.eagleoneinvestments.com
H.D. Vest Financial Services
800-821-8254
www.hdvest.com
Harbour Investments, Inc.
888-855-6960
www.harbourinv.com
FFP Securities, Inc. an Advanced Equities Co.
800-925-3371
www.ffp1.com
Financial Network Investment Corp.,
an ING Co.
800-879-8100
www.financialnetwork.com
Founders Financial Securities, LLC
888-523-1162
www.foundersfinancial.com
MML Investors Services, Inc.
800-542-6767
www.mmlisi.com
Multi-Financial Securities Corp.,
an ING Co. (890 reps)
800-929-3485
www.multifinancial.com
Mutual Service Corp.
800-749-8900
www.mutualservice.com
Ensemble Financial Services, Inc.
800-444-6640
www.ensemblefs.com
Equity Services, Inc.
800-344-7437
www.equity-services.com
The Medallion Group
800-268-1542
www.medalliongroup.net
Henschen & Associates
Tel: (651) 433-3501
Toll Free: (888) 820-8107
www.findabrokerdealer.com
Thinking of Changing Broker/Dealers?
Don't leap from one broker/dealer fire into another.
Make your moves without guesswork. Outsource
your critical due diligence—financial and cultural—
to Henschen & Associates. Call us today at (888)
820-8107 or (651) 433-3501 or visit our website at
www.findabrokerdealer.com
Hornor, Townsend & Kent
800-873-7637
www.htk.com
National Planning Corp.
800-881-7174
www.joinnpc.com
NEXT Financial Group, Inc.
877-876-6398
www.nextfinancial.com
NFP Securities, Inc.
800-880-0080
www.nfp.com
Princor Financial Services
888-774-6267
www.princor.com
Horwitz & Associates, Inc.
888-509-1500
www.horwitzco.com
First Allied Securities, Inc.
Advanced Equities Plaza
655 W. Broadway, Suite 1200
San Diego, CA 92101
800.499.5489 or 619.702.9600
Contact: Keith E. Gregg, President & Co-CEO
First Allied Securities, Inc. provides entrepreneurial
advisors access to the opportunities they require to
dramatically increase their earnings and develop a
world-class financial services business. First Allied
helps advisors win the battle for wealthy clients and
exceed their expectations with the right combination
of support and flexibility that includes:
●
Unique and differentiated products and
services;
●
An industry-leading business development
platform of training, education, practice
management and marketing sales and support;
and
●
Access to capital, operational infrastructure and
first-class services.
First Allied stands out as the broker/dealer of
choice for advisors who want a best-in-class
organization without the constraints of a wirehouse.
4
December 2007
Independent Financial Group
800-269-1903
www.ifgsd.com
ING Financial Partners
800-356-2906
www.ingfinancialpartners.com
InterSecurities, Inc.
800-322-7161
www.intersecurities.com
INVEST Financial Corp.
800-245-4732
www.investfinancial.com
Investacorp, Inc.
800-804-0000
www.investacorp.com
The Investment Center, Inc.
800-345-8041
www.investmentctr.com
Investment Centers of America, Inc.
800-544-7113
www.joinica.com
Investors Capital Corp.
800-949-1422
www.investorscapital.com
Pacific West Financial Group
Pacific West Securities, Inc—Member FINRA/SIPC
Pacific West Financial Consultants, Inc—
Registered Investment Advisor
Pacific West Insurance Agency, Inc
555 South Renton Village Place, Suite 700
Renton, Washington 98057
Toll Free: 888.236-7979
Phone: 425.271.3550
Fax: 425.255-8567
www.pwfinancial.com
Contact: Chris Sullivan
At Pacific West we understand the need to earn
your business each and every day, and take great
pride in delivering high quality service by a
knowledgeable, friendly staff and a readily
accessible executive team. Pacific West, through
its nationwide broker-dealer and RIA, provide a
commitment to independence. As an RIA, we offer
tremendous choice on our advisory platform,
sophisticated tools to manage your practice and
advisory planning to accelerate your growth. We
were the 2006 winner of the Tenant In Common
Association’s “A Champion of Excellent Award”
honored for our dedication to strong due diligence,
ethics and best practices.
Differentiate yourself and offer your clients
more investment choice.
PlanMember Securities
6187 Carpinteria Ave.
Carpinteria, CA 93013
Tel: 800-874-6910, ext. 2209
Fax: 800-614-8522
www.JoinPlanMember.com
Contact: Kevin Twohy, VP of Partner Dev.
email: ktwohy@planmember.com
PlanMember Securities Corporation is a
financial services marketing Broker- Dealer
that provides investment professionals a
unique opportunity to build a fee-based
financial enterprise and since 2004 has been
the #1 broker/dealer for fee business per
Financial Planning Magazine criteria.
PlanMember's unique expertise is assisting
its 400 reps in becoming their client's Trusted
Advisors by offering turn-key professionally
managed investments, proven business
development programs, superior technology,
a client call center, and on-site practice
management consulting. Additionally,
PlanMember's Vesting & Succession program
offers retiring reps the opportunity to earn up
to 75% of their book of business income for up
to 20 years after retirement.
Prospera Financial Services
800-444-4428
www.prosperafinancial.com
AdvisorChoiceSM
It’s your future. Don’t compromise.
Our unique culture allows the
entrepreneurial spirit of our Advisors’ to
flourish through the use of innovative
programs such as:
●
Quantum 100, 100% payout program for
fee-based business
●
Premium Blend, enhanced GDC payout
on life insurance production
●
Elite Advisor Strategies for affluent
clients
Our primary goal is to perfect the way
the world plans by helping independent
financial advisors find the avenues to
simplify their daily business and grow their
practice. If you want to work with a brokerdealer that will be a dedicated partner
in building your business, contact Debra
Grier, VP of Branch Development, at
(888) 337-4094, ext. 3842.
AdvisorChoice.com
866-904-6333
With a complete range of affiliation and
payout options, AdvisorChoice from
Raymond James gives you what you want:
the flexibility to build your practice your
way. At Raymond James, you gain full
freedom to operate your business with five
unique models. And you can change
platforms as your goals and needs change.
We do things differently — and providing
you with choices is only the beginning.
Regardless of which business model you
determine is right for you, you’ll have
control of your practice.
QA3 Financial
One Valmont Plaza, 4th Floor
Omaha, NE 68154
Use our Business Model Comparison
Tool to find the right one for you at
AdvisorChoice.com.
Royal Alliance Associates (AIG)
800-821-5100
www.royalalliance.com
Sammons Securities Co., LLC
800-373-1612
www.sammonssecurities.com
Securian Financial Services
888-237-1838
www.securianfinancial.com
Securities Service Network
10207 Technology Drive, Suite One
Knoxville, TN 37932
Tel: 866-218-2865
Fax: 865-671-5272
www.SmoothBDTransition.com
Contact: Michael Neubeck, EVP
The bottom line is always important but at SSN
we know it’s not just about the money. We
believe our relationships with clients add value
far beyond the numbers. Hard work, listening,
helpfulness and loyalty—just simple, honest
values - guide us in everything we do. We think
these principles, being the first broker dealer
to pay 100% payout of commission without
tiers and industry-leading payouts are what
earned us a place in Inc. magazine’s Hall of
Fame. Let us put together a payout plan that
meets your needs.
SSN. Expect more. Earn More.
6
December 2007
INDEPENDENT BROKER/DEALER DIRECTORY // CLEARING FIRMS
Securities America, Inc.
800-747-6111
www.securitiesamerica.com
B/D DIRECTORY
RECRUITMENT
Interactive Brokers
877-442-2757
www.interactivebrokers.com
Sigma Financial Corp.
800-373-1612
www.sigmafinancial.com
Signal Securities, Inc.
800-957-4256
www.signalsecurities.com
SII Investments, Inc.
800-426-5975
www.siionline.com
Summit Brokerage
Services, Inc.
866-591-6570
www.joinsummit.com
Triad Advisors, Inc.
800-720-4003
www.triad-advisors.com
VSR Financial Services Inc.
800-800-3177
www.vsrfinancial.com
Waddell & Reed, Inc.
888-923-3355
www.waddell.com
Woodbury Financial Services
800-800-2000
www.woodburyfinancial.com
First Southwest Company
800-678-3792
www.firstswclearing.com
230 Second Street SE, Suite 200
Cedar Rapids, IA 52401
Tel: (800) 235-4770
www.OfficialAFG.com
Contact: Melissa Darden
Advantage Financial Group (AFG) is a Super
OSJ of National Planning Corporation, member
FINRA/SIPC negotiating some of the highest
possible payouts and assuring a concierge level
of service for our partners. AFG is owned
exclusively by our investment representatives
and financial advisors. That ownership is
provided without capital investment.
Our mission is to provide membership in a
supportive organization that amplifies your
success with exceptional support staff and
resources while celebrating your independence
by sharing in equity ownership of AFG.
Our professionals earn high payouts and
help build wealth for their futures with
equity ownership in our organization.
Together, we share the satisfaction of
freedom, friendship and family.
WRP Investments, Inc.
800-589-2023
www.wrpinvestments.com
Jefferies & Company, Inc.
212-336-7380
www.jefferies.com
Legent Clearing
800-811-3487
www.legentclearing.com
Lek Securities Corp.
877-509-2300
www.leksecurities.com
Man Securities, Inc.
800-899-4525
www.mansecurities.com
Mesirow Financial, Inc.
800-453-0600
www.mesirowfinancial.com
National Financial, A Fidelity Investments Co.
800-752-7053
www.nationalfinancial.com
North American Clearing
800-599-4811
www.northamericanclearing.com
Penson Worldwide, Inc.
214-765-1100
www.penson.com
Pershing, Llc.
866-269-8293
www.pershing.com
Raymond James & Associates
888-752-5327
www.raymondjamesclearing.com
RBC Dain Correspondent Services
888-462-1816
www.rbcdaincs.com
Southwest Securities
877-797-6613
www.swst.com
United Planners’ Financial Services
7333 E. Doubletree Ranch Rd.
Suite # 120
Scottsdale, Arizona 85258
www.JoinUnitedPlanners.com
Contact: Partner Development
800-966-8737
United Planners’ is a quality, full-service
independent broker/dealer; uniquely
structured as a Limited Partnership.
Representatives are afforded high payouts
(to 95%) plus the opportunity to qualify
to share in the firms profits annually.
Focused on servicing their Registered
Representatives, multi-million dollar online
technology is a given. Seasoned and
attentive back office staff will work hard
to make your business run efficiently. You
can expect the stability of a large brokerdealer while enjoying the personalized feel
of a small broker-dealer. RIA flexibility and
a friendly compliance team are just the
beginning of your success story. We
commit to quality and independence.
8
December 2007
CFG/H. Beck
11140 Rockville Pike
4th Floor
Rockville, MD 20852-3144
(301)468-0100
www.cfginc.com
Capital Financial Group/H. Beck
is the 2007 Investment Advisor
Broker Dealer of the Year! (Division III)
For over 25 years we have realized that our
business is driven by the producing rep in the
field, not the broker-dealer. We truly treat each
CFG/H. Beck rep as a valued client. All of our
people and services are geared to help CFG/H.
Beck advisors improve their businesses. Come
explore a relationship with a broker-dealer that
values relationships. Call John, Steven or Pat
at 800-333-6884, or visit us at www.cfginc.com.
CLEARING FIRMS
First Clearing Correspondent Services
800-727-0304
www.firstclearing.com
Sterne Agee Clearing
800-264-4863
www.salclearing.com
Triad Securities Corp.
212-349-8060
www.triadsecurities.com
Wedbush Morgan Securities
213-688-8000
www.wedbush.com
CLEARING FIRMS
COMPLIANCE CONSULTING
Langdrum Consulting LLC
Compliance Officer with reasonable
& negotiable rates.
Langdrum Consulting LLC
Suburban Washington, DC
Tel: 301-656-5690
Contact: Peter Smith, Managing Director
Email: peterlsmith@verizon.net
Langdrum Consulting LLC provides multiple
Compliance services to investment advisers,
Investment companies and broker-dealers.
We tailored to your specific needs, from writing
policies and procedures, transactional and
forensic testing, mock examinations, to full
services of a chief compliance officer.
C L E A R I N G F I R M S : C O M P L I A N C E C O N S U LT I N G / / F E E B A S E D S E R V I C E S
NRS
323A Main Street
P.O. Box 71
Lakeville, CT 06039
860-435-0200
www.nrs-inc.com
Contact: Oriana DeRose, Vice President, Sales
860-435-0200 x 1886
oderose@nrs-inc.com
NRS, a division of SourceMedia is one of
the respected leaders in compliance and
registration services for Investment Advisers
and Broker/Dealers. Since 1983 firms have
trusted NRS for consulting engagements,
customized training programs, and products
to assist with compliance requirements.
NRS can provide branch audit tools and
customized work solutions for tracking
complaints and advertising reviews. In
addition, NRS ComplianceEssentials™ is the
online tool for managing compliance tasks
and includes a document management
system, policies and procedures, code of
ethics and email alerts when rules change.
For compliance assistance, trust NRS. For
information call (860) 435-0200.
FEE BASED SERVICES
San Diego, CA 92101
800.499.5489 or 619.702.9600
Capital Financial Group/H. Beck, Inc.
800-333-6884
www.cfginc.com
Centurion Counsel
800-878-8536
www.centurioncounsel.com
Advantage Capital Corporation
800-235-2237
www.advcap.net
866-462-3638
AIG Financial Advisors
800-522-3319
www.aigfinancialadvisors.com
The Comprehensive Group
800-632-2347
www.thecomprehensivegroup.com
American Portfolios Financial Services, Inc.
800-889-3914
800-444-6640
www.ensemblefs.com
800-335-9858
www.ameritas.com
800-344-7437
Associated Securities Corp.
800-284-2747
www.associatedsecurities.com
Fidelity Registered Investment Advisor Gp.
800-735-3756
http://ria.fidelity.com
●
services;
●
and
●
888-812-5043
GunnAllen Financial
800-713-4046
www.gunnallen.com
800-821-8254
www.hdvest.com
ING Financial Partners, an ING Company
800-356-2906
www.ingfinancialpartners.com
800-245-4732
Investacorp Advisory Services, Inc.
800-432-0193
www.investacorp.com
Bear, Stearns Securities Corp.
800-371-0978
www.bearstearns.com
Financial Network Investment Corp.,
an ING Company
800-879-8100
www.financialnetwork.com
Berthel Fisher & Company Financial Svcs.
800-356-5234
www.berthel.com
First Advisors, Inc.
800-925-3371
www.ffp1.com
800-544-7113
www.investmentcenters.com
brokersXpress, Inc.
888-280-7030
www.brokersxpress.com
Fiserv Investment Support Services
800-328-2596
www.fiserviss-advisorservices.com
Investors Capital Advisory Services
800-949-1422
www.icadvisory.com
Cadaret, Grant & Co., Inc
800-288-8601
www.cadaretgrant.com
Founders Financial Securities, LLC
888-523-1162
www.foundersfinancialsecurities.com
800-877-7210
www.joinlpl.com
Cambridge Investment Research, Inc.
800-777-6080
www.joincir2.com
FSC Securities Corp.
800-372-5646
www.joinfsc.com
The Masters, a division of VSR Fincl Svs, Inc
800-800-3177
10
December 2007
The Investment Center, Inc.
800-345-8041
www.investmentctr.com
FEE BASED SERVICES
Multi-Fincl Securities Corp., an ING Company
800-929-3485
www.multifin.com
Tired of the haircut?
Want to keep more of your advisory
fees?
Questar Asset Management, Inc.
800-568-7526
www.questarcapital.com
Quantum 100 is QA3’s groundbreaking
compensation program that allows advisors
to receive 100% payout on their fee-based
business.
7100 West Center Road
Omaha, NE 68106
800.989.8441
Contact: Gregg Johnson, Vice President of
Branch Office Development
800-880-0080
www.nfp.com
National Planning Corporation
800-881-7174
www.natplan.com
National Securities Corporation
800-742-7730
www.nationalsecurities.com
NEXT Financial Group, Inc.
877-876-6398
www.nextfinancial.com
888-236-7979
www.pwfinancial.com
Pershing Advisor Solutions, LLC
800-445-4467
www.pershing.com
800-874-6910
www.joinplanmember.com
PrimeVest Fincl Svcs, an ING Company
800-245-0467
www.primevest.com
ProEquities, Inc.
800-288-3035
www.proequities.com
Join QA3 and benefit from our openarchitecture platform, which offers access
to a variety of third party money managers,
advisor-directed accounts, unparalleled
back-office support, knowledge, experience
and above all independence.
Contact our branch office development
team today to find out more.
QA3 Financial
One Valmont Plaza, 4th Floor
PO Box 542005
Omaha, NE 68154
Tel: (888) 337-4090
Fax: (402) 964-3712
www.qa3.com
Contact: Deb Grier, Vice President of
800-444-4428
www.joinprospera.com
Your Business Growth Expert
Founded in 1984, Securities America is one
of the country’s largest, most successful
broker/dealers. Find a perfect match in an
entrepreneurial culture that searches for new
ways to help your business run more effectively
and profitably. Aggregate client accounts in our
online workstation. Streamline and expedite
business with our straight-through-processing
technology. Grow your branch and attract new
clients with our Business Development
programs, most created by our own advisors.
Create a more profitable and satisfying practice
with innovative Practice Management
solutions. Attract and retain high-net-worth
clients with comprehensive Wealth
Management tools. Design client-focused
portfolios with flexible, fee-based advisory
services. Securities America is your Business
Growth Expert!
December 2007
11
FEE BASED SERVICES
Raymond James Financial Services
800-248-8863
www.raymondjames.com
RFS, a division of Rydex Distributors, Inc.
866-842-3356
www.rydexfs.com
Royal Alliance Associates, Inc.
800-821-5100
www.royalalliance.com
Schwab Institutional,
a division of Charles Schwab & Co., Inc.
888-754-2614
www.aboutschwabinstitutional.com
Securian Financial Services, Inc.
888-237-1838
www.securian.com
Shareholders Service Group
800-380-7370
www.shareholdersgroup.com
800-373-1612
800-957-4256
Knoxville, TN 37932
Tel: 866-218-2865
Fax: 865-671-5272
meets your needs.
800-426-5975
www.siionline.com
FEE BASED SERVICES
ADVISORY SERVICES
FocusPoint Solutions
3395 SW Garden View Ave
Portland, OR 97225
866.201.3034
www.focuspointsolutions.com
SEI Advisor Network
1 Freedom Valley Drive
Oaks, PA 19456
1-888-SEI-ANSWERS
(1-888-734-2679)
www.seianswers.com/library
12
December 2007
United Planners’ is a quality, full-service
independent broker/dealer; uniquely
structured as a Limited Partnership.
Representatives are afforded high payouts
(to 95%) plus the opportunity to qualify
to share in the firms profits annually.
Focused on servicing their Registered
Representatives, multi-million dollar online
technology is a given. Seasoned and
attentive back office staff will work hard
to make your business run efficiently. You
can expect the stability of a large brokerdealer while enjoying the personalized feel
of a small broker-dealer. RIA flexibility and
a friendly compliance team are just the
beginning of your success story. We
commit to quality and independence.
Woodbury Financial Services, Inc.
800-800-2000
www.woodburyfinancial.com
TD Ameritrade Institutional
800-934-6124
www.tdainstitutional.com
SEI Advisor Network provides independent
advisors with outsourced wealth
management platforms that are designed
to meet the demands of a new generation
of wealthy clients. In an evolving wealth
management industry, the SEI Advisor
Network offers an end-to-end process
for successfully transforming clients'
businesses in every critical area, including
marketing, practice management,
investment strategy and client relationship
platforms. The SEI Advisor Network is
a strategic business unit of SEI.
United Planners’ Financial Services
7333 E. Doubletree Ranch Rd.
Suite # 120
Scottsdale, Arizona 85258
www.JoinUnitedPlanners.com
Contact: Partner Development
800-966-8737
We can help you go independent.
Really.
FocusPoint is the only full-service outsourcing
solution that was created for advisors, by
advisors.
We’ve bundled all the pieces your RIA might
need into one flexible, transparent package.
800-720-4003
Wall Street Financial Group, Inc.
800-836-4652
www.wsfg.com
Imagine maintaining total control over your
client experience and managing your client
accounts the way you’ve always wanted to—but
didn’t think was possible—all while freeing up
more of your time to spend as you wish.
Talk to us and you’ll find we’re familiar with—
and responsive to—the issues you face.
Don’t reinvent the wheel—customize ours to
suit your unique needs.
I N D U S T R Y A S S O C I AT I O N S / / I N S U R A N C E
SEI Advisor Network
Oaks, PA 19456
1-888-SEI-ANSWERS
(1-888-734-2679)
INDUSTRY ASSOCIATIONS
American Institude of Certified Public
Accountants; Personal Financial Planning Section
888-777-7077
www.aicpa.org/pfp
CFA Institute
800-247-8132
www.cfainstitute.org
Divorce Financial Planning Network (DFPN)
631-360-9027
www.dfpn.org
EverBank Advisor Services
Tel: 888.445.3585
www.everbankadvisor.com
EverBank Advisor Services has been embraced by
over 175 of the nation’s top broker-dealer firms.
From award-winning banking and mortgage services
to foreign currency deposit accounts, you’ll have
access to a full breadth of industry-leading products
that will set you apart from the competition. And,
with a dedicated team of professionals, you and your
clients will have the support you expect through
every financial transaction.
Fee Advisors Network
888-854-0931
www.feeadvisorsnetwork.com
Financial Planning Assn (FPA)
800-322-4237
www.fpanet.org
Financial Services Institute Inc. (FSI)
888-373-1840
www.financial services.org
Institute for Divorce Financial Analysts
800-875-1760
www.institutedfa.com
John Hancock Life Insurance Co.
800-270-1700
www.johnhancocklongtermcare.com
Internatl Assn of Registered Fncl Cons (IARFC)
800-532-9060
www.iarfc.org
Massmutual
800-234-2865
www.massmutual.com
Internatl Assn of Advisors in Philanthropy, Inc.
888-597-6575
www.advisorsinphilanthropy.org
Investment Advisor Assn
202-293-4222
www.investmentadviser.org
Investment Mgmt Consultants Assn (IMCA)
303-770-3377
www.imca.org
Market Technicians Assn, Inc.
646-652-3300
www.mta.org
Million Dollar Round Table
847-692-6378
www.mdrt.org
The Natl Assn of Active Investment Mgrs
888-261-0787
www.naaim.org
Metropolitan Life Insurance Co.
800-308-0179
www.metlife.com
Minnesota Life
888-505-9817
www.minnesotalife.com
Mutual Of Omaha
800-693-6083
www.mutualofomaha.com
Northwestern Ltc Insurance Co.
877-582-6582
www.nmfn.com
Penn Treaty Network America
800-362-0700
www.penntreaty.com
Physicians Mutual Insurance Co.
800-645-4300
www.physiciansmutual.com
Prudential Insurance Co. Of America
800-732-0416
www.prudential.com
Natl Assn of Personal Financial Advisor
800-366-2732
www.napfa.org
United Of Omaha
800-693-6083
www.mutualofomaha.com
Natl Assn for Estate Planners & Councils
866-226-2224
www.naepc.org
Unum
800-421-0344
www.unum.com
Natl Institute Of Certified College Planner
800-765-2031
www.niccp.com
NTSAA
314-692-9861
www.ntsaa.org
ALTERNATIVE
INVESTMENT PARTNERS
Social Investment Forum
202-872-5319
www.socialinvest.org
Society of Financial Service
Professonals (FSP)
800-927-2427
www.financialpro.org
LONG TERM CARE
Allianz Life Insurance Co.
Of North America
800-950-5872
www.allianzlife.com
Assurity Life Insurance Co.
888-505-3980
www.ltcassurity.com
Bankers Life & Casualty Co.
800-231-9150
www.bankerslife.com
Berkshire Life Ins. Co. Of America
888-505-8743
www.theberkshire.com
Equitable Life & Casualty
800-352-5170
www.equilife.com
Genworth Financial
888-436-9678
www.genworth.com
AIP Mutual Funds is an innovative openend mutual fund platform, providing access
to over 20 hedge fund managers and
strategies, including: long/short equity
styles; international long/short equity;
global hedged income; convertible bond,
fixed-income, and merger arbitrage
strategies; and distressed securities.
Alpha Hedged Strategies Fund (ALPHX)
seeks to minimize equity market exposure
and volatility via absolute return strategies,
with modest leverage.
Beta Hedged Strategies Fund (BETAX)
seeks to moderate equity market exposure
and volatility via hedged strategies, with
moderate leverage.
AIP Funds are open to all investors,
including most fund supermarket platforms
and many brokerage firms. For more info
call 1-866-LOW-BETA.
December 2007
13
R E T I R E M E N T / / T E C H N O LO G Y & S O F T W A R E
RETIREMENT
Why should you SPEND $50
for a retirement calculator
when there are dozens
available—FOR FREE—
on the internet???
The “NOT JUST FOR RETIREMENT”
personal finance calculator was
INVENTED BY A FINANCIAL PLANNER
to help her better serve her
own clients.
“This unique calculator incorporates
20 years of real world client experience
making it both quick and easy to
calculate solutions to a wide variety
of personal finance questions.
For more information or to order
YOUR calculator visit:
www.NJFRCalculator.com
Ilene Davis Designs
Cocoa, FL
AdviceAmerica, Inc.
510-824-3777
www.adviceamerica.com
Advisor Products, Inc.
888-274-5755
www.advisorproducts.com
Advent Software, Inc.
600 Townsend Street
San Francisco, CA 94103
Tel: (800) 727-0605
www.advent.com
Contact: Stephanie Miles, Sales Manager
Advent understands the unique business
challenges associated with providing highly
customized services to clients, and we have
been providing solutions to firms like yours
since 1983. More than 2,000 independent
advisors and 1,800 asset management
firms rely on Advent everyday for reduced
operating risk, improved client service,
and increased productivity.
We offer two solutions customized for
Independent Advisors: Advent Office®
Essentials and Advent® Back Office Service.
Both solutions are based on Axys®, Advent’s
industry standard portfolio management and
accounting system. Go to www.advent.com
to learn more.
Allied Financial Software, Inc.
11800 Northfall Lane; Suite 1404
Alpharetta, GA 30004
www.software4advisors.com
Toll Free: 800.831.7636/Direct: 770.475.0495
Act4Advisors is a customized ACT! Database
template program designed specifically for
financial service professionals. With over 20 years
of experience in the financial services industry
along with ACT!'s contact management expertise,
we have created a software program that meets
the CRM needs of the financial professional.
BNA Software
800-424-2938, option 3
www.bnasoftware.com
Brentmark Software, Inc.
800-879-6665
www.brentmark.com
BridgePortfolio
800-610-8882
www.bridgeportfolio.com
ByAllAccounts
781-376-0801
www.byallaccounts.com
CashEdge Inc.
212-656-9000
www.cashedge.com
Client Marketing Systems, Inc.
800-799-4267
www.advisorsassistant.com
CMS BondEdge, an Interactive Data division
310-479-9715
www.cmsbondedge.com
Knoxville, TN 37932
Tel: 866-218-2865
Fax: 865-671-5272
meets your needs.
TECHNOLOGY & SOFTWARE
ADP Investor Communication Services
800-353-0103
www.ics.adp.com
14
December 2007
www.advisorintelligence.com
800-776-9555
ComplianceMAX Financial
888-879-7990
www.compliancemax.com
AdvisorIntelligence shares the research,
communications, and practice management
expertise that helped Litman/Gregory grow
to over $6 billion AUM. Subscribe and access
asset class and manager research, model
portfolios, as well as investment policy
statements, commentaries, presentations,
and newsletters to help you communicate
effectively with your clients and save you time.
The Consortium
805-987-6115
www.liftburden.com
Advisor Tools, Inc.
850-271-3113
www.harvest-time.net
Crescendo Interactive, Inc.
800-858-9154
www.crescendointeractive.com
Advisor Software, Inc.
925-299-7782
www.advisorsoftware.com
Datair Employee Benefit Systems, Inc.
888-328-2474
www.datair.com
AdvisoryWorld
800-480-3888
www.advisoryworld.com
Decisioneering, Inc.
800-289-2550
www.crystalball.com
Albridge Solutions, Inc.
877-252-9963
www.albridge.com
Efficient Technology, Inc.
877-456-7845www.quikforms.com
The Annuity Price Center
800-347-3539
www.annuityprices.com
Emerging Information Systems, Inc.
888-692-3474
www.eisi.com
Cornerstone Revolutions, Inc.
503-968-7202
www.poweradvisortools.com
COSS Development Corp.
800-776-7087
www.cossdev.com
T E C H N O LO G Y & S O F T W A R E
eMoney Advisor
888-362-4612
www.emoneyadvisor.com
ExecPlan
by Sawhney Systems, Inc.
800-850-8444
www.execplan.com
Why should you SPEND $50 for a retirement
calculator when there are dozens available —
FOR FREE — on the internet???
The “NOT JUST FOR
RETIREMENT” personal
finance calculator was
INVENTED
BY A
FINANCIAL PLANNER to
help her better serve her own
clients.
E-Z Data, Inc.
626-585-3505
www.ez-data.com
eZ-Adviser
877-471-3054
www.ez-adviser.com
Financeware, Inc.
877-883-7526
www.financeware.com
“This unique calculator
incorporates 20 years of real
world client experience
making it both quick and easy
to calculate solutions to awide
variety of personal finance
questions.
Financial Computer Support, Inc.
877-432-2267
www.fcsi.com
Financial Planning Consultants, Inc.
800-666-1656
www.financialsoftware.com
Financial Psychology Corp.
800-735-7935
www.financialpsychology.com
FNX Solutions
484-530-4400
www.aspenhedge.com
Quantity discount and affiliate programs available
Ilene Davis Designs
Cocoa, FL
Forefield, Inc.
800-550-6831
www.forefield.com
IPS AdvisorPro® is the web-based
software that allows financial
professionals to create fully-customized,
world-class investment policy statements
(IPS) in under 15 minutes. Morningstar’s
Tech Editor, Joel Bruckenstein, recently
name IPS AdvisorPro® “Software Product
of the Year.” Not only are investment
policy statements a "best practice" in
private wealth management, they can
also be a crucial form of legal protection
and an effective marketing tool.
Your IPS AdvisorPro® subscription
includes: historical return and standard
deviation information for 27 asset classes,
6 asset allocation models, 8 IPS types,
downloadable risk-tolerance
questionnaires, and risk-scoring
algorithms.
View Samples - Live Web
Demonstrations Every Thursday
www.IPSAdvisorPro.com
sales@IPSAdvisorPro.com
December 2007
15
T E C H N O LO G Y & S O F T W A R E
Foundation Source
800-839-0054
www.foundationsource.com
Lumen Systems, Inc.
800-233-3461
www.lumensystems.com
PFPC
877-546-5412
www.advisorcentral.com
GSL Galactic Consulting
317-254-0385
www.garylesser.com
MasterPlan Financial Software
800-229-5080
www.masterplanner.com
PG Calc Incorporated
888-497-4970
www.pgcalc.com
MaxPro Systems, Inc.
877-629-2281
www.maxprosystems.com
PIE Technologies, Inc.
800-743-7092
www.moneyguidepro.com
Morningstar Inc.
800-735-0700
www.morningstar.com
PlanPlus, Inc.
800-364-1293
www.planplus.com
Impact Technologies Group, Inc.
800-438-6017
www.impact-tech.com
INDATA
858-847-3000
www.indataweb.com
Informa Investment Solutions
914-640-0200
www.informais.com
Investigo Corp.
952-920-1441
www.investigo.net
Investment Scorecard, Inc.
800-555-6035
www.investmentscorecard.com
IW Financial
207-773-2333
www.iwfinancial.com
Kettley Publishing Corp.
888-553-8853
www.kettley.com
myStockOptions.com
617-734-1979
www.mystockoptions.com
Planware, Inc.
866-320-0861
www.integrate2000.com
National Collegiate Advisors, Inc.
319-390-4344
www.ncaconnect.com
Precision Information, LLC
888-345-1285
www.educatedinvestor.com
National Compliance Services
800-800-3204
www.ncsonline.com
Prima Capital Holding, Inc.
888-301-2007
www.primacapital.com
National Regulatory Services
860-435-0200
www.nrs-inc.com
ProTracker Software, Inc.
603-926-8085
www.protracker.com
Net Worth Strategies, Inc.
877-728-5964
www.networthstrategies.com
SBPlanner.com
800-717-2663
www.sbplanner.com
North American Software, Inc.
513-297-2981
www.nasoftware.com
Lightport, Inc.
888-800-0188
www.lightport.com
OptionVue Systems International, Inc.
800-733-6610
www.optionvue.com
LiveOffice Corp.
800-251-3863
www.liveoffice.com
Orion Advisor Services, LLC
402-496-3513
www.orionadvisor.com
Money Tree Software, Inc.
1600 SW Western Blvd., Suite 110
Corvallis, OR 97333
Toll free: 877-421-9815
www.moneytree.com
Making Good Planners Better for
Over 25 Years - Download fully
functional trial software today!
Money Tree is the leader in innovative
planning software supporting top professional
financial advisors with efficient technology.
Silver Financial Planner & Silver Online
are quick, intuitive, interactive and
affordable solutions delivering fundamental
reports you need most. Get full calculations
and illustrations with Monte Carlo, “Live
What-if?”™ plus more in just minutes.
TOTAL Planning System is the planning
powerhouse integrating two distinct report sets
connected with unified input. Easy Money
delivers comprehensive goal-based reports.
Golden Years calculates advanced cash-flow
planning with extensive tax analysis.
16
December 2007
Schwab Performance Technologies
800-528-9595
www.schwabpt.com
Selling Technologies
215-750-9756
www.sellingtechnologies.com
Why should you SPEND $50
for a retirement calculator
when there are dozens
available—FOR FREE—
on the internet???
The “NOT JUST FOR RETIREMENT”
personal finance calculator was
INVENTED BY A FINANCIAL PLANNER
to help her better serve her
own clients.
“This unique calculator incorporates
20 years of real world client experience
making it both quick and easy to
calculate solutions to a wide variety
of personal finance questions.
Ilene Davis Designs
Scherrer Resources, Inc.
800-950-0190
www.brokersally.com
Cocoa, FL
Soft Green Corp.
770-258-4637
www.softgreencorp.com
Standard & Poor’s
800-523-4534
www.standardandpoors.com
Steele Systems, Inc.
800-315-9002
www.mutualfundexpert.com
Tamarac, Inc.
866-525-8811
www.tamaracinc.com
TimerTrac.com
888-240-3415
www.timertrac.com
Townsend Analytics
800-827-0141
www.taltrade.com
Trust Builders
503-831-1111
www.trakcentral.com
Wolters Kluwer Financial
Services/GainsKeeper
www.gainskeeper.com
Zephyr Associates, Inc.
800-789-5323
www.styleadvisor.com
T E C H N O LO G Y & S O F T W A R E / / W E A LT H M A N A G E M E N T
TECHNOLOGY & SOFTWARE
PORTFOLIO MANAGEMENT
AND ACCOUNTING
®
IPS AdvisorPro is the web-based software
that allows financial professionals to create
fully-customized, world-class investment
policy statements (IPS) in under 15 minutes.
Morningstar’s Tech Editor, Joel Bruckenstein,
recently named IPS AdvisorPro® “Software
Product of the Year.”
IPS AdvisorPro® can help you to become more
professional, productive and profitable.
View Samples - Live Web Demonstrations
Every Thursday: www.IPSAdvisorPro.com
sales@IPSAdvisorPro.com
Princeton Financial® Systems
600 College Road East
Princeton, NJ 08540
Tel: 613-599-2464
Fax: 609-987-9320
www.pfs.com
Contact: Lorne Whitmore
Princeton Financial® Systems, a wholly owned
subsidiary of State Street Corporation, is a
leading provider of investment management
and accounting systems and ASP services for
global institutional investors. Its flagship PAM®
investment management systems provide
comprehensive STP-ready functionality that
can be licensed for in-house use or accessed
via the Internet. PAM systems are currently
used worldwide by over 350 leading
investment managers, insurance companies,
mutual funds and unit trusts, pension funds,
hedge funds, endowments, banks, and
corporations, which manage combined total
assets over US $3 trillion. Princeton Financial
has offices located in the United States,
United Kingdom, Belgium, Australia,
Singapore, Amsterdam and Canada. For
more information, visit Princeton Financial’s
website at www.pfs.com.
AIP Mutual Funds is an innovative openend mutual fund platform, providing access
to over 20 hedge fund managers and
strategies, including: long/short equity
styles; international long/short equity;
global hedged income; convertible bond,
fixed-income, and merger arbitrage
strategies; and distressed securities.
Alpha Hedged Strategies Fund (ALPHX)
seeks to minimize equity market exposure
and volatility via absolute return strategies,
with modest leverage.
Beta Hedged Strategies Fund (BETAX)
seeks to moderate equity market exposure
and volatility via hedged strategies, with
moderate leverage.
AIP Funds are open to all investors,
including most fund supermarket platforms
and many brokerage firms. For more info
call 1-866-LOW-BETA.
Bear Stearns & Co., Investment Advisor Svcs.
866-382-2324
www.bearstearns.com
Brecek & Young Advisors
888-777-1992
www.brecek.com
The Capital Financial Group/
H. Beck, Inc.
800-333-6884
www.cfginc.com
WEALTH MANAGEMENT
Advisor’s Asset Management
888-883-2663
www.aammanagedmoney.com
American Portfolios Advisors, Inc.
800-889-3914
Ameriprise Financial, Inc.
612-671-3131
www.ameriprise.com
800-335-9858
www.aicinvest.com
Associated Securities Corp., Associated
Planners Investment Advisory, Inc.
800-284-2747
December 2007
17
W E A LT H M A N A G E M E N T
Centurion Counsel, Inc.
800-878-8536
www.centurioncounsel.com
866-462-3638
EverBank Advisor Services
Tel: 888.445.3585
San Diego, CA 92101
800.499.5489 or 619.702.9600
800-444-6640
www.ensemblefs.com
www.everbankadvisor.com
800-344-7437
embraced by over 175 of the nation’s top
Federated Investors, Inc.
800-341-7400
www.federatedinvestors.com
currency deposit accounts, you’ll have
products that will set you apart from the
Fidelity Registered Investment
Advisor Goup
800-735-3756
http://ria.fidelity.com
competition. And, with a dedicated team of
●
services;
●
and
●
Fiserv Investment Support Services
800-525-2124
www.fiserviss.com
FOLIOfn
877-877-2023
www.folioadvisor.com
GBS Financial Corp.
888-427-0559
www.gbsfinancial.com
EverBank Advisor Services has been
broker-dealer firms. From award-winning
banking and mortgage services to foreign
access to a full breadth of industry-leading
professionals, you and your clients will have
the support you expect through every
financial transaction.
To learn more about the benefits EverBank
Advisor Services can bring to your
www.everbankadvisor.com.
888-812-5043
GunnAllen Financial, Inc.
800-713-4046
www.gunnallen.com
business, call 888.445.3585 or visit
800-821-8254
www.hdvest.com
dba Helmsman Group, Inc.
877-464-1400
www.horwitzco.com
888-509-1500
www.horwitzco.com
Independent Financial Group, LLC
800-269-1903
www.ifgsd.com
800-245-4732
Investment Advisors Corp.
800-352-5634
www.bdfs.com
800-544-7113
www.investmentcenters.com
Lincoln Financial Network
866-536-6630
www.lfg.com
800-877-7210
www.joinlpl.com
18
December 2007
W E A LT H M A N A G E M E N T / / T U R N K E Y A S S E T M A N A G E M E N T
National Planning Corp.
800-881-7174
www.natplan.com
512-697-6000
www.nfp.com
888-236-7979
www.pwfinancial.com
Pershing Advisor Solutions, LLC
800-445-4467
www. pershingadvisorsolutions. com
800-874-6910
www.joinplanmember.com
800-444-4428
www.prosperafinancial.com
Questar Asset Management
888-446-5872
www.questarcapital.com
Raymond James Financial Services
800-248-8863
www.advisorchoice.com
Schwab Institutional
(division of Charles Schwab & Co., Inc.)
888-754-2614
www.schwabinstitutional.com
Shareholders Service Group
800-380-7370
www.shareholdersgroup.com
7100 West Center Road
Omaha, NE 68106
800.989.8441
Contact: Gregg Johnson, Vice President of
Branch Office Development
Your Business Growth Expert
Founded in 1984, Securities America is one
of the country’s largest, most successful
broker/dealers. Find a perfect match in an
entrepreneurial culture that searches for new
ways to help your business run more effectively
and profitably. Aggregate client accounts in our
online workstation. Streamline and expedite
business with our straight-through-processing
technology. Grow your branch and attract new
clients with our Business Development
programs, most created by our own advisors.
Create a more profitable and satisfying practice
with innovative Practice Management
solutions. Attract and retain high-net-worth
clients with comprehensive Wealth
Management tools. Design client-focused
portfolios with flexible, fee-based advisory
services. Securities America is your Business
Growth Expert!
Securian Financial Services
888-237-1838
www.securian.com
800-373-1612
800-957-4256
800-426-5975
www.siionline.com
SunGard
888-441-9935
www.sungard.com
TD AMERITRADE Institutional
800-934-6124
www.tdainstitutional.com
Transamerica Financial Advisors
800-245-8250
www.tfa.transamerica.com
800-720-4003
Trust Company of America
800-955-7808
www.trustamerica.com
VSR Financial Services
800-800-3177
WEALTH MANAGEMENT
TURNKEY ASSET
MANAGEMENT
SEI Advisor Network
Oaks, PA 19456
1-888-SEI-ANSWERS
(1-888-734-2679)
20
December 2007

2008 Advisor`s Companion

Transcription

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