Business and Affiliation Models

Build a Program to Fit Any Business Model

Affiliation Models

Advisor as Employee of Institution

Advisors enjoy the freedom to focus on helping clients pursue a broad range of financial and retirement planning needs along with the following benefits:

  • Potential access to group employee benefits
  • Financial institution pays for broker-dealer expenses
  • Financial institution pays for marketing, office and support staff expenses
  • Advisor recieves a salary from the financial institution

Independent Advisor

Advisors serve clients while operating thier own practice. Advantages of affiliating as an independent advisor include:

  • Operating under their own business name
  • Higher commission payout range
  • Possibility for the advisor to own their book of business
  • Business development resources, networking opportunities, technology training and succession resources from the broker-dealer

Advisor Managed via an OSJ Affiliation

Designed for advisors who are new to independence, or prefer to focus their time and effort solely on meeting client needs, instead of running a business. The managed model provides advisors with:  

  • Group health package
  • Assistance with office space and furnishings, computer equipment and technology, and other resources
  • Ability to leverage an established brand while building and growing their practice

Multiple Clearing Options

By offering the ability to clear business through two distinct platforms, National Financial Services, LLC, member NYSE/SIPC and Pershing, LLC, member NYSE, SIPC, and a sibsidiary of The Bank of New York Mellon Corporation, Securities America is helping to ensure your investment program’s independence. Equally powerful and unique, these two platforms provide the opportunity to pick which custodian best meets your needs.

For advisors who want to use custodial platforms other than our core clearing firms, we offer Arbor Point Advisors, our corporate hybrid RIA option. By affiliating with Arbor Point Advisors, Schwab, TD Ameritrade and Fidelity IWS are available custodian options. 

Advisory Services

Securities America has been serving independent registered investment advisors (RIAs) since 1984. Advisors can affiliate with our corporate RIA or their own independent RIA. Both types of advisors have access to a variety of resources, from financial planning to our turnkey asset management programs. Powerful technology allows advisors to manage assets internally or outsource to third-party money managers, all on one consolodated state-of-the-art platform.

Previous Page