Building Your Investment Program

Implementing an Investment Program in Your Financial Institution

If you don’t currently have an investment program in your financial institution, Securities America can help you establish this dynamic addition. Adding investment services to your list of customer offerings can not only increase your bottom-line revenue, but can bolster client /member retention through expanded offerings and cross-selling opportunities.

Securities America’s financial institutions team can guide you through each step of the implementation process. From technology needs analysis to personnel training and advisor placement, to a thorough understanding of the compliance and regulatory ramifications, our team will be there to guide you through the process. Better yet, we’ll also support you after your program is up and running, with business growth programs, marketing tools and knowledgeable customer support.

Getting Started with Securities America

For Advisors

Financial institutions offer advisors the opportunity to share in their brand when talking to prospective clients. This relationship can either be an employee role or an independent advisor who develops a relationship with a bank or credit union.

Our team has experience working with advisors and institutions to discuss the options available. We also have several banks and credit unions looking for advisors to fill open positions in their institution. If you are interested in joining a team, contact us for a list of positions and the requirements for each.

For Program Managers

Working with us as your broker-dealer provides different options for financial institutions to build their program. One of the first decisions to make is if the advisor will be staff or independent. Our team can walk you through the choices available. Once the plan is created, you have access to the tools for training new staff on how to maximize the potential of an investment program.

For Financial Institution Leaders

The dedicated team at Securities America can help build a plan to grow non-interest income, help protect relationships with key clients and add more customers as a result of having a program.

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