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 30-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:

    • Access to a comprehensive selection of investment choices and truly objective research, allowing your advisor the freedom to make recommendations based solely on what's in your best interest, free from proprietary product pressures. From stocks, bonds, and mutual funds; unit investment trusts; real estate investment trusts; and fixed and variable annuities to managed investment programs and separately managed accounts; life and long-term care insurance; limited partnerships; CDs and money market accounts; retirement plans; alternative investments; and more, you have access to whatever you need to pursue your financial objectives.
    • A technology platform that makes it easy for your advisor to manage your portfolio and maintain a comprehensive, holistic picture of your overall financial life. Through your advisor's website, you can also have access to your portfolio and see much of the same information your advisor sees.
    • An advisor-to-staff ratio that is among the highest in the industry, which allows us to answer advisors’ calls promptly and execute transactions quickly and accurately.


    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.