Broker Check

Brokerage Advisory Services

Our advisors provide two primary types of services: brokerage and advisory. You can use these services exclusively or combine them, but either way it’s important to understand the differences.

Advisory Services

In an advisory relationship, you generally pay a fixed fee or a percentage of the account’s value for personalized advice and guidance, instead of a commission for each trade. In this capacity, our advisors provide the following services:

  • Portfolio construction
  • Investment recommendations
  • Ongoing investment advice
  • Financing planning tailored to your unique goals and timelines

Advisory services are not tied to transaction charges or sales commissions. So, there is a mutual interest in growing your assets.

Brokerage Services

Brokerage services are commission-based, meaning financial advisors and brokerage firms are paid a commission— and in some cases a trailing commission—for each transaction. The amount of that commission varies, depending on the security or investment product. The sales charges for each product are described in the prospectus or other offering documents.

An advisor needs your permission to make each transaction, and will present you with products that are suitable for your needs and financial situation.

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