Services and Support

An Enduring Commitment to Business Growth

Training and Coaching

Having professional, informed and savvy financial professionals 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 financial professionals 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, financial professionals 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.

Comprehensive Financial Solutions

Securities America financial professionals have access to a selection of high-end, customized platforms offering asset management, insurance services, estate planning and trust services. These comprehensive solutions allow financial professionals to remain competitive in today’s marketplace and serve clients who have unique financial planning needs.

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 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.

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