Business and Affiliation Models

Affiliation Models

Affiliation Models

Financial Professional as Employee of Institution

Financial professionals enjoy the freedom to focus on helping clients pursue a broad range of financial and retirement planning needs along with the following benefits:

  • Potential access to group employee benefits
  • Financial institution pays for broker-dealer expenses
  • Financial institution pays for marketing, office and support staff expenses
  • Financial professional recieves a salary from the financial institution
Independent Financial Professional

Financial professionals serve clients while operating their own practice. Advantages of affiliating independently include:

  • Operating under their own business name
  • Higher commission payout range
  • Possibility to own their book of business
  • Business development resources, networking opportunities, technology training and succession resources from the broker-dealer
Financial Professional Managed via an OSJ Affiliation

Designed for financial professionals who are new to independence, or prefer to focus their time and effort solely on meeting client needs, instead of running a business. The managed model provides:

  • Group health package
  • Assistance with office space and furnishings, computer equipment and technology, and other resources
  • Ability to leverage an established brand while building and growing their practice
Multiple Clearing Options

By offering the ability to clear business through two distinct platforms, National Financial Services, LLC, member NYSE/SIPC and Pershing, LLC, member NYSE, SIPC, and a sibsidiary of The Bank of New York Mellon Corporation, Securities America is helping to ensure your investment program’s independence. Equally powerful and unique, these two platforms provide the opportunity to pick which custodian best meets your needs.

For financial professionals who want to use custodial platforms other than our core clearing firms, we offer Arbor Point Advisors, our corporate hybrid RIA option. By affiliating with Arbor Point Advisors, Schwab, TD Ameritrade and Fidelity IWS are available custodian options.

Advisory Services

Securities America has been serving independent registered investment advisors (RIAs) since 1984. Advisors can affiliate with our corporate RIA or their own independent RIA. Both types of advisors have access to a variety of resources, from financial planning to our turnkey asset management programs. Powerful technology allows advisors to manage assets internally or outsource to third-party money managers, all on one consolodated state-of-the-art platform.

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