Helping Your Financial Advisor

By partnering with Commonwealth, the largest, privately held dually registered independent broker/dealer and investment adviser in the United States, your financial advisor is empowered to provide you with objective advice free of bias or conflict of interest.

Going beyond what's required

As a registered representative, your financial advisor is required by the Financial Industry Regulatory Authority (FINRA) to affiliate with a broker/dealer–registered investment adviser to process investment transactions on your behalf. And financial advisors who wish to provide investment advisory services to their clients are required to associate with an investment adviser registered with one or more states or the Securities and Exchange Commission (SEC). Commonwealth, however, has a more than 35-year history of exceeding what's merely required and doing whatever it takes to help independent advisors provide their clients with the best possible guidance and the prompt, personal service they expect and deserve.

The infrastructure Commonwealth has in place to help your advisor do just that includes:

Education that keeps your advisor in the know

Through conferences, seminars, and online training opportunities, we help keep your advisor abreast of the ever-changing, increasingly complex financial industry, so he or she can make the best recommendations regarding your financial future.