What We Do
Commonwealth Financial Network® is the largest privately held dually registered independent broker/dealer and investment adviser in the nation. But that only begins
to tell the story.
- Also follow securities laws
- Are properly registered and licensed
- Correctly complete and maintain paperwork
- Demonstrate responsibility
- Disclose or avoid conflicts of interest
What a broker/dealer and registered investment adviser does
A dually registered broker/dealer and investment adviser is in charge of processing the investment business of the financial professionals who affiliate with it. These professionals (also called advisors) are independent business owners who provide financial guidance to people in their community. Because the securities and investment advisory industry is heavily regulated, financial advisors must register with a broker/dealer and/or investment adviser to ensure supervision and a clear chain of responsibility.
As a broker/dealer and registered investment adviser, Commonwealth is responsible for following securities laws, as well as for ensuring that our advisors:
What Commonwealth does
Beyond our official broker/dealer and investment advisory responsibilities lies something less tangible but equally important to the advisors who partner with us. And that’s our commitment to doing whatever it takes to help them serve their clients and grow their businesses. The difference between a broker/dealer–RIA that fulfills its requirements and one that is fully engaged with and invested in the success of its affiliated advisors—that’s the Commonwealth difference. Whether you’re an advisor, a potential employee, or a client, we invite you to explore more of this site to get a feel for just what that difference can mean to you.