For your protection, we do not take custody of client funds. Our firm has appointed National Financial Services (NFS), a division of Fidelity, to act as custodian for your assets. All money movements, checks and asset transfers go directly to accounts registered in your name. NFS is subject to regulation and audits from both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), and holds SIPC coverage. In addition, you will be provided with immediate on-line access to help you maintain control of your accounts.
Commonwealth Financial Network (our broker-dealer) also provides important oversight and investor protections. Systems are in place to prevent unauthorized transfers into third-party accounts, and they monitor advisor recommendations for suitability.
Both National Financial Services and Commonwealth are two of the largest firms of their kind in the nation, and offer industry-leading technology to facilitate our ability to serve you