Deciding to affiliate with a new Broker/Dealer is usually a difficult decision. Making sure you’ve selected the right B/D for you and your business model can seem downright overwhelming. Click here to read an informative article about how to select the broker/dealer that’s best positioned to help you grow your practice, and also aligned with your style of doing business.
| Does your current or future Broker/Dealer... | SA |
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| Have turnkey Client Acquisition Programs and Tools to help you acquire & retain ideal clients? |
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| Offer customizable marketing materials like personal brochures, greeting cards & CD business cards? |
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| Have a Representative Advisory Board and Sales Assistant Advisory Board? |
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| Have specific conferences and educational opportunities for your assistants and support staff? |
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| Offer an integrated financial planning and asset allocation tool, including online resources, calculators, client presentation materials, pre-approved newsletters, and more? |
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| Offer “HR Advantage”, a turnkey Human Resources support program for your office? |
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| Provide a network, marketing tools, and assistance in helping you recruit new reps to your branch? |
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| Offer a FREE weekly economic commentary email that can be customized and sent to your clients? |
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| Offer a new, customizable direct mail client letter for your use each month? Have a division that supports Registered Investment Advisors? |
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| Have an employee-to-representative ratio of 1:5 or better? |
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| Offer comprehensive E&O that covers securities, investment advisory, and insurance activities? |
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| Offer discounts to independent third-party research including Morningstar® products? |
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| Offer practice management services including on-site consulting, hiring and compensation tools, daily office and workflow guide, client survey guide, etc.? |
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| Allow fixed insurance production credits to offset other fees? |
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| Have experienced professional insurance and advanced markets staff support? |
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| Clear through NFS (a division of Fidelity) and Pershing? | ||||
| Offer accounts with Check Writing, Debit Card and IRA Check Writing options? | ||||
| Have a “Top Rep” support service set up? | ||||
| Pay your commissions weekly? | ||||
| Offer free Periodic Investment Plans (PIPs) and Systematic Withdrawal Plans (SWPs)? | ||||
| Link variable annuities to the client’s brokerage statement? | ||||
| Allow Branch Managers to get a signature guarantee stamp? | ||||
| Allow a split representative number with multiple representatives? | ||||
| Collect and organize available online information and services on how to better run your independent business? |
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| Offer you low cost online quotes, news, and research services? | ||||
| Give you the ability to process your securities transactions and applications online? | ||||
| Provide you real-time online management reports you can run as needed? | ||||
| Offer low cost, unlimited, real-time dynamically updated quotes? | ||||
| Offer you a fully automated online help desk to answer common questions or concerns quickly? | ||||
| Deliver transactional, management and marketing information via daily e-mail? | ||||
| Offer a range of common interfaces to ease data downloads to your office? | ||||
| Offer online new account set-up and multiple account update functionality direct from your office? | ||||
| Offer online access to your clients for their account balances, history and positions? | ||||
| Offer an “action report” that gives your office a central location for managing daily office activities? | ||||
| Offer transition support? |
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| Provide special training for your staff? | ||||
| Analyze your business to be certain that you comply with your new broker/dealer’s requirements prior to your transition? | ||||
| Help you with your transfers and change of dealer letters? | ||||
| Offer the flexibility to affiliate under the broker/dealer’s corporate RIA or to use your own RIA? | ||||
| Pay 12(b)1 fees on fee-based accounts? | ||||
| Offer programs where you have the choice of managing the money yourself or picking outside money managers then splitting the fee? | ||||
| Offer over 3,300 load-waived and no-load funds in managed accounts? | ||||
| Allow you to charge fees on annuities you manage? | ||||
| Calculate fees using average daily balance or market value? | ||||
| Offer discretionary trading on no-load and load-waived funds? | ||||
| Provide flexible fee schedules – Flat, Tiered, and Linear fee schedules? | ||||
| Allow ticket charges to be passed through to the client or absorbed by you? | ||||
| Offer over 800 No-Transaction-Fee (NTF) funds? | ||||
| Provide integrated, on-demand, online performance reports for all accounts? | ||||
| Prepare client agreements, disclosure brochures, and draft and amend your ADV? | ||||
| Calculate and deduct fees directly from client accounts either monthly or quarterly? | ||||
| Offer a monthly educational audio series? | ||||
| Provide a Professional Alliance Program to share fees with CPAs and other professionals? | ||||
| Provide cost basis information via the Internet and on client statements? | ||||
| Offer Performance Reports using benchmark comparisons? | ||||
| Provide a step-by-step guide and workshop on converting to fees? | ||||
| Have an Annual National Conference and Professional Development Conference? | ||||
| Provide an RIA compliance website with compliance calendar notification? | ||||
| Arrange an online approved managed account client presentation? | ||||
| Offer Trading and Rebalancing software? | ||||
| Offer model portfolios with asset specific recommendations? | ||||
| Offer a complete continuity of practice program? | ||||
| Provide access to Advanced Advice Services such as Stock Option Analysis, Expert Planning Advice, and Business Valuation Analysis? |
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| Offer Deferred Compensation to qualified representatives? | ||||
| Offer over 13,000 mutual funds? | ||||
| Offer over 250 variable annuities and over 50 variable life products? | ||||
| Monitor your accounts to make sure they transfer over in a timely fashion to prevent losing trails? | ||||
| Offer reasonable continuing education charges and flexible requirements? | ||||
| Provide an online consolidated portfolio management system with contact management? |
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Securities America could be the right choice for you! Contact our Branch Office Development Department TODAY at
1-800-989-8441 or e-mail branchofficedevelopment@saionline.com.
