Personal Attention

We are confident that the advisors we serve enjoy the best of both worlds—big-firm resources with small-firm attention. As a member of Advisor Group, one of the largest truly independent broker-dealer networks in the industry, we have the tools you need to excel in today’s business environment. Importantly, we also deliver hands-on, customized service.

And it starts at the top. Every member of our senior management team has decades of experience in the industry and promotes an open door policy. When you need to talk to anyone about any issue, you have the complete assurance you will be heard.

We Listen and Respond

But we go further than that. We also have a number of advisory boards that keep us well connected to our advisors. Some of our most significant advances each year come from listening carefully to them and taking the appropriate action as a result. Our advisors help direct our path.

At the end of the day, we put advisors first in all of our thinking and planning. If you’ve ever felt abandoned or ignored by your home office, be prepared for a new and refreshing collaborative experience with FSC.

Open Architecture

For years, broker-dealers have been forcing their advisors into their mold. Making them change their own proven approaches and systems to conform to corporate structures that were set years ago, but possibly no longer effective. We know that what works for one advisor might not be a good fit for another. It’s the reason our advisors appreciate our steadfast commitment to an open architecture platform. And it informs every decision we make.

The bottom line is that we believe you know the best way to manage and grow your business. Because of that belief, we embrace your vision and want you to do business your way. While many broker-dealers offer narrow definitions of what open architecture means to them, FSC is focused on what it means to you. We understand that you have a vision to take your already successful practice to an even better place.

Flexibility & Customization

To us, open architecture is more than a philosophy. It’s an everyday reality. One that lets you define your ideal approach to business and then delivers powerful options that make it happen. Our open architecture encourages you to:

  • Set up and manage your practice in the way that works best for you
  • Work with the systems you prefer and we’ll look to integrate them into ours
  • Market yourself to your customers and prospects in the way you know has historically produced results
  • Offer more products from more sponsor firms and choose from two custody/clearing options
  • Define a customized succession plan that makes sense today and delivers real benefits for the future

Sales Support

Our Internal Sales Desk, together with our Advanced Sales/Qualified Plans, Investment Advisory Services, Insurance Consulting Services and Retirement Plan Consulting Services teams, provide advisors with comprehensive and consultative sales support across all product lines. Our goal is to offer solution-driven support across the spectrum and throughout all phases of the client engagement process.

The collaborative nature of our sales support teams is central to our ability to effectively support our advisors by identifying opportunities that add true value every time we have a conversation with an advisor. Our sales and education efforts across all product lines are designed to help our advisors, in whatever way possible, deliver quality investment strategies and advice to their clients.

Retirement Plan Consulting Team

Our Retirement Plan Consulting Services Team (RPSC) can help you capture your share of the trillions of dollars that are currently in play in the retirement plans marketplace. Part of Advisor Group’s dynamic sales organization, RPCS provides the focused support and concrete tools designed to help you thrive in the retirement plan marketplace.

Don’t go it alone trying to navigate the retirement planning landscape. RPCS delivers guidance that’s not one-size-fits-all and it is just a phone call away. Our advisors also have complete access to our Advanced Planning and Plan Design Support teams.

From regulations to legislation, our experts assess the impact on your practice and deliver easy-to-interpret updates via our Advanced Sales Desk—helping you capitalize on information so you can deliver value to your clients.

Benchmarking Tools

There’s a lot of competition out there in the retirement plan marketplace, so differentiation is critical. Deploying our state-of-the-art fee benchmarking programs, RFP comparisons, investment analytics, and compliance tools will give you the edge you need to break away from the pack.

Advanced Sales

Our firm is unique in the independent broker-dealer space in that we have in-house attorneys available to provide subject matter expertise and assist you with case design strategies and complex business issues. Although the attorneys don’t provide tax advice, they do understand and capitalize on the tax attributes of the products you offer by providing tax information designed to help your clients make informed decisions.

Each of our Advanced Sales attorneys bring decades of industry experience to the table and their advice is objective, independent and neutral regarding providers. Their areas of expertise include estate planning, charitable giving, business insurance and non-qualified benefit planning. They also offer expert-level knowledge on everything from IRAs to ESOPs and often challenging subjects such as long-term care, Medicaid and combination products, as well as alternative investments.

Pro-Business Compliance

Compliance is a priority at FSC and we provide the expert consultation, support and tools you need, designed to help avoid regulatory issues, reduce complaints and manage risk. Our commitment extends beyond the routine supervisory duties and branch exams to include a full suite of resources that enable you to move much of your compliance burden to us.

The bottom line is that we are pro-business with the full intention of helping your practice succeed. It’s not about introducing obstacles, it is all about creating opportunities.

Advertising Review

Personalized advertising consultation that provides access to an advertising analyst is also available just by picking up the phone. Your analyst will guide you through the steps to help ensure that all marketing initiatives meet FINRA guidelines. We also deliver our advisors an online sales practice manual for 24/7 access to current information on compliance issues. This valuable resource is backed by a dedicated phone support staff available during regular business hours.

Also, to assist you in transitioning to a fully paperless office, we supply guidance that can support and enhance your efforts to improve productivity, efficiency and accuracy in record keeping when implementing an electronic storage solution.

And to keep you up-to-date, the latest developments are covered in-person at our annual compliance meeting. We also enable you to meet your annual requirements online so that you can determine what best fits your schedule.

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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