Outside Brokerage Accounts

 

Brokerage Accounts – Advisors must disclose any outside brokerage accounts and Securities America must receive a copy of each account statement. There is no fee for outside brokerage accounts through Charles Schwab, TD Ameritrade, E*Trade, Fidelity Investments, Scottrade, Wells Fargo, Morgan Stanley, Edward Jones, Merrill Lynch, Ameriprise, Vanguard or Raymond James.
 

Trust Services – Trust services are permissible at Securities America, but approval of this outside business activity must be obtained prior to engaging in trust services. Advisors may not act as trustee for clients, unless they are an immediate family member. Securities America and Ladenburg Thalmann recommend using Premier Trust for trust services.

 

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