Dual Clearing

FSC is committed to supporting our advisors in the way they are most comfortable rather than making them conform to our preferences. To that end we offer dual clearing arrangements through both Pershing and National Financial Services. Our goal is to make any transition as seamless as possible to both our advisors and the clients they serve.


Pershing has been a leading global provider of financial business solutions for 75 years, and serves many of the world’s most respected financial organizations. In addition to SIPC protection, accounts held at Pershing have coverage in excess of SIPC limits through Lloyd’s of London. Pershing’s parent company, the Bank of New York Mellon, has $27.6 trillion in assets under custody or administration and $1.6 trillion under management.*

Our relationship with Pershing offers you access to NetX360, Pershing’s revolutionary technology platform providing the tools needed to manage clients’ accounts, deliver first-rate service, and develop new sales and revenue opportunities. NetX360 offers one complete solution to efficiently manage your entire business, whether commission or fee-based.

National Financial Services (NFS)

National Financial Services is a leading provider of clearing and custody solutions to more than 300 broker-dealers throughout the United States. Established in 1983, NFS, a Fidelity Investments company, is one of the largest providers of brokerage services with more than 25 million brokerage accounts representing $3.2 trillion in assets. Its parent company, Fidelity Investments is one of the world’s largest providers of financial services, with custodial assets of $4.6 trillion, including managed assets of $1.9 trillion.*

The strength and reputation associated with Fidelity Investments is one of the many reasons FSC is pleased to partner with NFS. Our relationship with NFS provides trade execution, clearing, and other related services for your commission and fee-based brokerage accounts and offers access to a dedicated service model, leading investment solutions, and access to Streetscape—a powerful global trading platform.

Pershing, NFS and their affiliates are not affiliated with FSC Securities Corporation or Advisor Group.

* Dates as of (12-31-14)

Investment Products

FSC advisors have the flexibility to access financial products from hundreds of companies. This level of independence enables you to provide truly sound advice to your clients with the confidence that you’re presenting among the best available solutions for their needs.

It is also important to state that FSC respects your status as an independent financial advisor and will never exert any pressure to sell proprietary products. You are encouraged always to determine the best solutions for and with your clients to meet their specific financial needs.

Our Internal Sales Team will also consult with you one-on-one to offer recommendations and support, while providing strategic insight, positioning and comparisons among the extensive range of products we enable you to offer.

Mutual Funds

Mutual funds are often the financial cornerstone for a vast number of Americans who have worked hard throughout their lives and want access to investments designed to meet their evolving needs throughout their lifetimes. For this reason, FSC offers a substantial list of funds designed for every need.

Learn about mutual funds options

Variable Annuities

For the right client in the appropriate stage of life, variable annuities can be an attractive option. Through FSC, you have access to a wide range of variable annuities that are designed to provide solutions for lifetime income. We also provide an Annuity Intelligence tool that can help you compare and contrast the best annuities in the market

Learn about variable annuities options

Alternative Investments

Alternative Investments have grown during recent years as changes in the economy have required more specialized solutions. Our list of approved companies and products allows you to present clients with the alternative investments that may play an important role in a diversified portfolio.

Learn about alternative investments options

Insurance Services

The Insurance Services department functions as the insurance product marketing support department for FSC. Their job is to work with you to help you make the best decisions regarding insurance products and insurance based solutions. We start by understanding what role insurance plays in your practice, and what type of service you need to grow that segment of your practice, and then deliver that support per your needs.

Expanded Choice

We have designated several insurance companies as Focus Life carriers and certain Brokerage General Agencies (BGAs) as preferred distributors. Doing business with these organizations gives you a wide range of options while allowing you to place your business through FSC. Of course, open architecture model also allows you a variety of ways to place your insurance business.

The Focus Life carriers are specially selected insurance carriers who share our vision of maintaining a pro-active, aggressive internal insurance department and have demonstrated their willingness and ability to not only assist us in delivering value to you but to also facilitate the access and distribution of competitive, quality products and services. Each Focus Life Carrier has agreed to provide underwriting, advanced planning, and operations support. Many will also provide you with point-of-sale support on more challenging cases. Click link below to access a complete list of Focus Life and BGA carriers.

Advisor Insurance Solutions Center (AISC)

Our internal BGS provides multi-carrier opportunities and singular support for our advisors. The services include:

  • Priority Processing of New Business
  • Objective, Dedicated Service From Quote to Policy Execution
  • Comprehensive Case Management
  • External Sales Support

And, AISC’s Electronic Multi-Carrier Submissions system lets you place term business directly through Advisor Portal!

Point of Sale Support

FSC leverages a team of experienced Regional Life Specialists, who are ready to assist advisors in evaluating their clients’ life insurance needs. These specialists help identify clients with life insurance needs, explain strategies, and help grow an advisor’s life insurance business. As a value-added resource, specialists will be involved as much or as little as you deem appropriate.

VIP Program

Our top insurance advisors are included in our VIP Program as either Premier or Select members. Benefits of membership include exclusive access to advanced insurance education and training.

Vive On-Line Term Insurance

Vive (formerly, tioTERM) provides instant, reliable, term quotes based on a few simple health questions that every client can answer. Not just an order submission process or a quote engine, Vive is everything you need to quote, compare, select, and order a term life policy, all on-line in an intuitive, easy-to-use, website. Competing products are quoted side-by-side for easy comparison, and product details are available online at the touch of a button. Orders are submitted through a simplified online form so users never contend with burdensome applications or amendments or waste valuable time scheduling exams or ordering medical records. Click link below to access a list of Vive carriers.

Term Intelligence

Access our Electronic Multi-Carrier Submissions system directly through the Advisor Portal to manage term life business efficiently.

Learn about insurance services options

Women Advisors

Women FORWARD is Advisor Group’s women’s initiative to foster an environment of success for female advisors and to provide a wide-range of guidance to all advisors looking to enhance their relationships with female clients.

Areas of Focus

Growth: Through our mentorship program and academic curriculum, we will support our female advisors in managing and developing their businesses.

Recruiting: In addition to recruiting existing female advisors, we will support women who choose to be financial advisors as a first or second career, and administrative associates who are on a path to becoming advisors.

Female Clients: In recognition of this growing investor segment, we are dedicated to providing all advisors with the tools and resources to actively—and successfully—engage female clients.

Giving Back: Advisor Group is keenly focused on promoting financial literacy. One way we do this is by working with Junior Achievement USA to provide young people with an opportunity to explore, first-hand, the work of financial advisors. We have also established the Advisor Group Women’s Community Leadership Award, through which we are able to honor a female advisor who has demonstrated outstanding commitment to helping women grow personally, professionally, or financially.

W Forum

This annual conference offers education and networking opportunities for all women affiliated within our broker-dealer network. W Forum features intriguing keynote speakers, advisor-led workshops and an extensive partner exhibit for interacting with industry professionals.


The Women FORWARD Mentorship Program is designed to bring together our network’s top-producing male and female advisors looking to provide real world guidance and share their expertise with female advisors. Central to this flagship program’s success is its focus on collaboration, education, and networking.


We’ve compiled a library of pre-approved Client Engagement Materials for advisors to take advantage of, as they work with women investors. In addition, we’ve assembled informative resources within our Advisor Materials library that delve into the “what, how and why” of successfully working with women investors. These materials can enhance advisors’ interactions with women investors and help them grow their practices.

For more information about the Women FORWARD initiative, please contact Erica Hinton at WomenForward@advisorgroup.com.

Feel Free to Express Yourself

Making a move is a big change. By providing us with a little information about you and your background, we can propose solutions customized for your situation. Please complete and submit the form below and we will be in touch very soon.

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