First Allied Securities

One Solution. A Wealth of Opportunities.

You have created your practice just the way you envisioned; you are a Registered Investment Advisor capable of handling all of your fee-based accounts and you also service commission-based accounts. First Allied's Hybrid Solution allows you to offer your clients a wide array of products and services which provide them with a holistic approach to investing.

Your ability to combine fee-based and commission-based business sets you apart from your peers in the industry. To attain this status, you need to partner with a firm that understands the nuances of this diverse strategy and can offer you an integrated platform that will meet the needs of your entire business. You need a partner that can support your business today and can offer you scalable solutions to help you create the business you envision.

A key component is having integrated comprehensive compliance tools. Keeping up to date with constantly changing regulations can overwhelm an independent business. You can leverage First Allied's resources to make regulatory compliance easier to manage. Our platform provides real-time, rules-based compliance checking for all activity in client accounts—both fee- and transaction-based business—helping you adhere to appropriate standards on regulatory, credit, and business issues. We also provide comprehensive solutions for sales practice monitoring to help ensure proper surveillance and regulatory compliance throughout your business. By relying on our tools and expertise, you can more efficiently manage risk.

Additionally, First Allied enables you to provide fee-based advice that comes with access to world-class investment managers. You can leverage our strong infrastructure and relationship with Pershing, LLC to offer commission-based products as the business need arises. Our products, tools, and services can help keep your business running smoothly so that you can focus on efficiently and proactively providing solutions to your clients. We're here to provide the support and freedom that you need to grow and prosper. We offer the best of both worlds.

A Comprehensive Solution for Both Fee- and Commission-based Business:

• Single Sign-On Integrated Platform
• Consolidated Reporting and Fee Billing
• Streamlined Investment, Operations and Compliance Tools
• Open Investment Architecture
• Practice Management and Transition Support

We work with Pershing Advisor Solutions who offers the groundbreaking solution NetX360™ — a platform for investment professionals and RIAs that provides the tools needed to manage clients' accounts, deliver first-rate service, and develop new sales and revenue opportunities.

The market data, tools, and analytical capabilities available throughout NetX3 60™ will help you identify potential revenue-generating opportunities from both new and existing clients. From sales to transaction processing and from trading to managing compliance risks, NetX360™ will simplify your daily tasks, enabling you to save time, reduce errors, and accomplish more.

Imagine all of your needs provided in a timely, accurate manner on a straight-through processing system with a flexible, open architecture that seamlessly integrates with your office environment.

Our mission is simple: to partner with you to help you build the business of your dreams.

Working with us, you can enjoy complete access to the investment choices you need, including equities, fixed income, cash, mutual funds, ETFs, managed accounts, alternative strategies, structured products, and more. You can also broaden your offering to include such sophisticated wealth management solutions as cash management, lending, trust solutions, corporate executive services, donor-advised funds, and more. At the same time, you can continue to tap into commission-based opportunities, such as trailing mutual fund commissions and client-directed brokerage accounts, to help diversify your revenue and retain existing client relationships.

You've made all the right decisions to get you where you are today. Now choose the partner that will help you build the business you want for the future.

Your Business. Your Choice.