Payson: (928) 474-4350
Scottsdale: (480) 588-3015
Toll Free: (877) 474-4350
Fax: (877) 788-1857
What is a broker/dealer?BBB Business Review
BBB Business Review
BBB Business Review
A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.
Why Commonwealth Financial Network®?
The fact that we've chosen to work with Commonwealth Financial Network® (Commonwealth), an independent broker/dealer–RIA, means that our firm remains independent, too. We are free to act solely in your best interest, without bias and without pressure to promote a particular product or strategy. It's a model that differs from that of some other, larger financial firms known as wirehouses, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.
Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they're needed and to act in the best interests of its financial advisors and their clients—not shareholders.
How Commonwealth helps us help you.
Commonwealth was ranked "Highest in Independent Advisor Satisfaction Among Financial Investment Firms" in the J.D. Power and Associates 2013 Financial Advisor Satisfaction Study℠.* But it's what that achievement means for our clients—on a daily basis—that makes the difference.
Commonwealth goes far beyond what's required of a broker/dealer; the entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It's that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.
This communication is strictly intended for individuals residing in the states of
AK, AR, AZ, CA, CO, DC, FL, HI, IA, ID, IL, IN, MA, MN, MO, ND, NM, NV, NY, OH, OR, SC, TN, TX, UT, WA, WI
No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services.