Financial Institutions

Welcome

Do you currently have an investment program in place but are looking for a new partner to help you grow that program? Securities America stands ready to assist you with:

Proven Wealth Management

Premier Technology

Experienced Personalized Support

Securities America Financial Institutions

Investment Programs

Building Better Programs Together

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Improve Satisfaction and Increase Efficiency

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Solutions that Meet Financial Professional & Client Needs

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Testimonials

Jason E. - Windsor Heights, IA

"I attend the Financial Institutions Conference to take away ideas, whether that be from a sponsor company, home office employee or peer, there's always ideas you can gain from someone else."

Brock B. - Carmi, IL

"Being located in a bank provides a high level of client foot traffic during the day. The ease of accessibility enhances our customer service by creating a very open-door environment."

Jason S. - Bismarck, ND

"The support we receive from Securities America has been fantastic. Whether it be hiring a new financial professional, commission settlements, licensing or technology, the experiences have been very smooth."

Matthew L. - South Sioux City, NE

"There's a team to help streamline processes, whether we have issues with advertising, compliance or new accounts."

Walter B. - Alexandria, VA

"Our partnership with Securities America has allowed me to focus on growing our program through building relationships with members. Securities America's expertise, technology and willingness to help have provided the resources to meet our members' financial goals."

Building Better Programs Together

Securities America’s Financial Institutions Division has decades of experience supporting banks and credit unions. Our team has a keen understanding of your unique needs, challenges and opportunities, so we can help you gain a distinct competitive advantage.

Financial Institution Relationships = 116
Producing Reps Working with a Financial Institution = 179
Affiliation Options
- Financial professional as institution employee
- Independent financial professional

Investment Program Resources

Financial institution reporting

Product flexibility

Online client access

Advisory services to fit any business model

Competitive payouts

Compliance oversight

Coaching and business growth programs

Innovative technology

Improve Satisfaction and Increase Efficiency

Having professional, informed and savvy financial professionals is critically important. Securities America’s growth-centric programs are consistently recognized as some of the best in the industry, incorporating tools and techniques proven to increase profitability and create stronger customer relationships.

Business Consulting – experienced consultants provide confidential, customized advice
Next Level Coaching – a step-by-step approach to grow assets under management and take control of work-life balance
Behavioral Financial Advisor Training – move beyond a product focus and effectively influence the spending and saving behavior of clients
Continuity and Succession Resources – specialized continuity plans for life’s unforeseeable events and long-term succession plans that reap the rewards of years of hard work
Networking Groups and Conferences

Holistic Compliance and Supervision

Securities America’s compliance and supervision teams leverage our experience to help your investment program meet all regulatory needs. Our goal is to protect your business, so financial professionals are free to focus on serving clients. To ensure your financial institution’s investment program remains compliant we:

Add required disclosures to statements, forms and communications
Provide necessary reports to supervise and manage sales activities
Perform yearly audits
Protect you and your clients with documentation best practices and education
Assign training professionals to supervisors, financial professionals and their staff to maintain our standards of excellence

Wealth Management Resources

Studies show client retention and assets per customer are higher when they have a financial plan. We can help you provide a broad spectrum of advice and wealth management resources, all aimed at growing and developing your program.

Retirement Income Distribution Solution

NextPhase is Securities America’s industry-leading array of programs, services and education to help manage retirees’ income needs. The platform includes time-segmented distribution tools, simplified implementation of time-segmented plans and the ability to manage and track individual client results.

Comprehensive Financial Solutions

Securities America financial professionals have access to a selection of high-end, customized platforms offering asset management, insurance services, estate planning and trust services. These comprehensive solutions allow financial professionals to remain competitive in today’s marketplace and serve clients who have unique financial planning needs.

Professional Marketing Tools

Securities America’s Marketing department offers a variety of tools to promote your investment program. We can design a comprehensive program that will deliver results to existing clients and your community, leveraging your unique brand in the marketplace. These tools help attract new customers and expand relationships with existing clients.

Materials such as desk signs, brochures and letters can be branded with your investment program’s logo and contact information, and are very affordable, some materials available at no cost.

Program Transition and Start-Up Assistance

Making the transition to Securities America is the first step in a long-term strategic partnership focused on the needs of your financial institution. Starting a new program or changing providers can be a daunting task, but we work hard to ensure it is a positive experience. During the initial stages of our partnership you are assigned a personal transition consultant and dedicated licensing and compliance specialists, who will make sure your transition or start-up is smooth and thorough.

Solutions that Meet Financial Professional & Client Needs

Benefits for Your Financial Institution

Provide a one-stop-shop model for all financial services needs
Strengthen client relationships
Increase non-interest income
Increase client/member retention
Multiple affiliation and business models tailored to your needs
Business growth services such as coaching, compliance, wealth management, marketing and program start-up assistance
Innovative technology that makes doing business easier

In your search for a firm to support your financial institution’s investment program, we’re sure you’ll find Securities America has some of the most impressive product, support and service offerings in the industry. In addition, you’ll receive dedicated support from our helpful, knowledgeable and experienced team of professionals, dedicated to helping build your investment program.

Through constant, open communication with program managers, financial professionals and assistants, and by putting ourselves in your shoes, we relentlessly pursue improvement. We measure key performance metrics to ensure we exceed the expectations of your program and clients. Culture plays a big part in a successful relationship.

Partnering with Securities America enables you to provide clients or members access to a wide array of non-proprietary products and investments. From retirement distribution programs to individually-designed financial plans, we work with our financial institution partners to implement the shared vision of helping people fulfill their dreams.

Business and Affiliation Models

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The Securities America Advantage

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