First Allied Securities

We demonstrate tremendous depth of experience among the individuals who make up our support teams, administering programs which are available to you beginning with your transition to First Allied all the way through your retirement.

• Transitions

  Integrations support begins before you join First Allied. We gather information regarding your business and provide you with a plan tailored to your needs. Once your registration is effective with us, we assist with the transferring of your assets, and training you and your personnel on our systems. As partners, we will help you integrate our systems, products and services with your independent business in the most efficient and effective manner possible.

• Commission-Accounting

  The goal of our Commissions Department is to enable you to easily monitor and track your production. Through our unique Commission Web program, you are able to view all of your commissions when it’s convenient for you. That includes brokerage and direct mutual funds, annuities, insurance, and alternative investments.

  You will have access to both the gross and net commission amounts and charges such as licensing fees, and E&O insurance. You can select filters in the search function, such as a date range, and print the results page. You also can view, print or export your commission statements to a spread sheet. If you supervise other advisors, Commission Web gives you a branch summary view to track your branch production goal. Updated daily, Commission Web makes it easy for you to see if you’re hitting your goals.

• Compliance

  The Compliance Department assists our financial advisors in operating and maintaining their offices in the highest level of compliance in accordance with federal and state regulations. The department is fully staffed with licensed and qualified personnel to assist advisors in any compliance-related issues or matters that may impact the operation of their practice.

  In this environment of ever-evolving securities regulations, our Compliance Department recognizes the importance of continuing education and keeping financial advisors informed of recent developments that may affect the branch offices’ good standing with federal and state agencies, and the public.

• Supervision

  We have six Regional Associate Vice Presidents (R-AVP) assigned to specific regions throughout the United States, which enables them to more efficiently supervise and support our advisors and deliver personal attention and service. They play a major role in guiding the policies and procedures associated with supervising our advisors.

  The R-AVPs provide useful guidance on what sales practices to avoid in order to minimize the risk of a client complaint or arbitration. In the event of a regulatory audit of the branch office, the R-AVPs are available to be present to interact with regulatory auditors and lead the branch office through the audit. The RAVPs will travel to each advisor’s office for an initial set-up visit and return as often as needed.

• Relationship Management

  Designed to build stronger and more consistent relationships, Relationship Management adds a new direction and depth of service that is uncommon among traditional broker/dealers.

  Each branch office is assigned a Relationship Manager who is their liaison to First Allied, serving as an ambassador to guide them in all aspects of their practice. They are dedicated to assisting advisors in a wide variety of ways. Your Relationship Manager will work with you to develop best practices based on proven methods. They connect advisors with all of the resources and services available to them throughout the firm and the Advanced Equities family of companies.

• Operations Service Managers

  The less time you spend working on administrative items, the more time you’ll have to work with existing clients and attract new ones. In our Operations Department every advisor is assigned a Service Manager who assists them with all things related to operations.

  This system streamlines processes by eliminating confusion about who to call, multiple phone transfers to other employees, and the need to engage senior management in urgent matters that require escalation. We know that speed and accuracy are paramount to helping you run your business smoothly and nothing could be more efficient than having a dedicated person to take care of everything for you.

• Succession Planning & Exit Strategies

  

  When you near retirement, you will need a succession plan and an exit strategy. Do you want to leave your business to an heir or partner? Have you thought about who will take care of your clients when you retire? Do you know how to get a fair price for your practice? Can you retire early and make more money? Our executive team and our parent company, Advanced Equities Financial Corp., have vast experience in acquisitions and have guided numerous advisors through business transitions. We know how to identify and prepare successors, structure fair deals for both the seller and the buyer, and facilitate a seamless transition for both you and your clients.

  When you’re ready to retire, and you want to leave your business to an advisor you know or need assistance in finding a buyer, we have a comprehensive plan for helping you create an exit strategy that you’re comfortable with.

  We view our relationship as a partnership and are committed to helping you get all that you deserve from the sale of your business and to ensuring you have peace of mind that you’ve left your clients in good hands.