Training and Coaching
Having professional, informed and savvy financial advisors is critically important. Securities America’s growth-centric programs are consistently recognized as some of the best in the industry, incorporating tools and techniques proven to increase profitability and create stronger customer relationships.
- Business Consulting – experienced consultants provide confidential, customized advice
- Next Level Coaching – a step-by-step approach to grow assets under management and take control of work-life balance
- Behavioral Financial Advisor Training – move beyond a product focus and effectively influence the spending and saving behavior of clients
- Continuity and Succession Resources – specialized continuity plans for life’s unforeseeable events and long-term succession plans that reap the rewards of years of hard work
- Networking Groups and Conferences
Holistic Compliance and Supervision
Securities America’s compliance and supervision teams leverage our experience to help your investment program meet all regulatory needs. Our goal is to protect your business, so advisors are free to focus on serving clients. To ensure your financial institution’s investment program remains compliant we:
- Add required disclosures to statements, forms and communications
- Provide necessary reports to supervise and manage sales activities
- Perform yearly audits
- Protect you and your clients with documentation best practices and education
- Assign training professionals to supervisors, advisors and their staff to maintain our standards of excellence
Our supervision staff provides expertise in working within the industry’s ever-evolving regulatory environment. Personal compliance and supervision contacts give feedback on changes in securities and advisory regulation and how the changes impact our policies and procedures.
Wealth Management Resources
Studies show client retention and assets per customer are higher when they have a financial plan. We can help you provide a broad spectrum of advice and wealth management resources, all aimed at growing and developing your program.
Retirement Income Distribution Solution
NextPhase is Securities America’s industry-leading array of programs, services and education to help manage retirees’ income needs. The platform includes time-segmented distribution tools, simplified implementation of time-segmented plans and the ability to manage and track individual client results.
The Ladenburg Advantage
When clients have unique financial planning needs like asset management, insurance services, estate planning and trust services, our advisors have access to experts in these areas through our parent company, Ladenburg Thalmann Financial Services. By incorporating this skilled team of professionals into your business, you can efficiently advance your program and provide clients with the high level of customer service they want and the holistic financial solutions they need.
Professional Marketing Tools
Securities America’s Marketing department offers a variety of tools to promote your investment program. We can design a comprehensive program that will deliver results to existing clients and your community, leveraging your unique brand in the marketplace. These tools help attract new customers and expand relationships with existing clients.
Materials such as desk signs, brochures and letters can be branded with your investment program’s logo and advisor contact information, and are very affordable, some materials available at no cost.
Program Transition and Start-Up Assistance
Making the transition to Securities America is the first step in a long-term strategic partnership focused on the needs of your financial institution. Starting a new program or changing providers can be a daunting task, but we work hard to ensure it is a positive experience. During the initial stages of our partnership you are assigned a personal transition consultant and dedicated licensing and compliance specialists, who will make sure your transition or start-up is smooth and thorough.Previous Page