The products and services listed below are designed to help your investment program provide a full range of investment options to meet your clients' ever-changing needs, while at the same time increase your level of profitability. Print a copy of our Financial Institution Broker/Dealer Scorecard and use it while reviewing the information on this website to help you determine if Securities America might be a great partner for your investment program.
Securities America offers a wide variety of financial products and services, including over 13,000 mutual funds (both load and no-load), over 250 fixed and variable annuities, full-service stock and bond trading, variable life and fixed insurance products, and fee-based asset management programs (fee-based services offered through Securities America Advisors, Inc.). The majority of these products can be consolidated into a single, comprehensive statement for each client. By offering a large array of non-proprietary products, your investment platform representatives are able to provide objective, independent advice and investment recommendations.
Changing your Broker/Dealer affiliation or introducing a new investment services program into your Financial Institution doesn't have to be difficult or expensive! Securities America has the programs, personnel and experience to map out your transition and help you hit the ground running.
Our Training Consultants and Operations Transition Team will work closely with your platform representatives to review paperwork, make sure there is prompt processing of business, provide comprehensive training on policies and procedures, determine technology needs, provide technology training, and so much more. Making your transition to Securities America a smooth, positive experience is the first step in a long-term strategic partnership that is focused on YOUR needs.
Enhance your investment program with comprehensive support programs, coaching, specialized one-on-one training, tools, and curriculum from Securities America.
- Practice Management Programs: We're committed to helping you succeed in the day-to-day management of your program. In addition to conferences held throughout the year, you also have access to on-site, confidential consulting services. A Training Consultant travels to your Financial Institution and works one-on-one with each advisor to uncover areas needing improvement, and spends time training him/her on the wide variety of products and services available, procedural concerns and technology issues. Recommendations and tools are presented that will maximize efficiency and productivity, and our consultant will coach all program personnel through the implementation phase of the suggested enhancements. We will provide ideas, solutions, and custom consultation that will help your investment professionals manage a more effective, profitable and satisfying program, and increase the level of service to your clients.
- Practice Management Guides - Each of these guides provides detailed, step-by-step instructions on the how-to's of managing a successful financial services practice.
- Newsletter - The Star is a bi-monthly newsletter with topics ranging from marketing ideas to the latest product innovations. We discuss new FINRA guidelines, share management ideas, introduce new services, and more.
- Assistant University provides an annual opportunity for assistants to increase their level of expertise. From beginner to expert, customized tracks allow all attendees to increase their skill set.
- Our Online EduCenter provides around-the-clock access to ongoing training and testing, certification, and so much more.
- Perspectives - Our monthly educational audio series focuses on business development ideas, and features interviews with top producers and industry experts.
- Our National Conference is an annual event providing several days of valuable workshops on investments, marketing, practice management, compliance, financial planning, and technology.
- Our Professional Development Conference, Wealth Management Workshops, Masters Forum, and Branch Manager Workshops all provide opportunities for ongoing learning and idea exchange. We're continually trying to find new ways to bring you the latest information and techniques to improve business efficiency and profitability!
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Marketing and Communication - It's important that your Financial Institution clients are aware of investment products and services that you offer! Securities America's marketing materials are designed to attract the attention of financial institution clients and inform them of the investment services offered through your branch. Materials such as customized brochures, posters, client letters, signage, statement stuffers, advertisements and more are available for your use. All of these materials have been approved through our compliance department, and most can be personalized for your financial platform's representative. We also offer substantial discounts through third-party vendors who can provide you with an even wider variety of seminars and newsletters, all of which are approved for use with your clients!
Through Securities America Advisors, Inc. (our advisory services division) you can choose to put money under management with our professional management team, our third-party money managers, or your investment professionals can utilize their own portfolio management skills; whichever option you choose, we have a multitude of asset management programs sure to fit your needs. Other services include stock option analysis, portfolio design analysis, expert planning advice, and more.
In addition to services built into our online brokerage programs, we offer a choice of independent research and market information services, including such resources as Standard & Poor's, Argus, and Morningstar.
Securities America has been helping Financial Institutions provide investment options to their clients since 1984. Our Compliance and Legal departments can leverage this experience to set up an investment program (either turn-key or fully customized) that meets your regulatory needs.
- All required disclosures will be added to Client Statements, Forms and Communications.
- Each year Securities America's Compliance Professionals will examine the operations of the Branch Office located on the premises of your Financial Institution to ensure that the operations remain in compliance with regulatory standards.
- Securities America will provide reports necessary to supervise and manage the sales activity of representatives located in your Financial Institution.
