919-678-0007 Contact us Home The FDG Difference For Individuals For Employers Resources Client Access ABOUT FIRST ALLIED Our independent business model ensures we have the autonomy and discretion to put you at the center of all investment strategies and business decisions. Just as we stand behind you to help you pursue your financial dreams, we have teams supporting our business. Our Team also strengthens our relationship with you by providing the resources we need to offer superior service. We’d like you to know more about these organizations and why we’ve chosen to work with them. Broker-Dealer: First Allied We’re affiliated with First Allied, one of the premier broker-dealers in the industry. They’re responsible for executing trades on your behalf. Like all broker-dealers, they must undergo regular auditing, and are required to meet specific net capital requirements to ensure they can meet obligations to investors like you. Their support for our relationship goes well beyond executing trades. We have the independence and freedom to recommend the financial solutions that best suit your needs—no sales quotas to fulfill or proprietary products to push—ensuring your objectives are what drive all decisions, while First Allied’s network of people and resources help us pursue your unique goals and vision for the future. Their Organization: Cetera Financial Group First Allied is part of Cetera Financial Group, an industry-leading network of independently managed broker-dealers. Cetera’s broker-dealers deliver award-winning advisory products and solutions, and sophisticated trading and technology platforms to me and other financial professionals across all 50 states. You can be confident that their tools, technology, and support help make us more effective in serving you. Our Custodian: Pershing While a broker-dealer helps supervise and facilitate the trading that converts your money into invested assets, those assets are held by a custodian. First Allied works with Pershing LLC to custody investor assets in brokerage accounts and advisory accounts. Pershing is a subsidiary of the Bank of New York Mellon Corporation, which is the nation’s oldest continuously operating bank and one of the world’s leading providers of securities services. Pershing serves as the IRA custodian on individual retirement accounts (IRAs), responsible for tax reporting and administering IRAs. Pershing must meet certain net worth and other requirements to be approved as custodians, and are subject to regular audits, both internally and by independent firms, to maintain those approvals. Our Most Important Connection: With You While the organizations behind us play important roles in serving your needs, the most important relationship we have is undoubtedly with you. We work with these firms to make it easier for us to work for you. If you’d like more information about them, please don’t hesitate to ask. We want you to feel confident that you understand, to your satisfaction, how we work with and through these organizations, why we’ve chosen to work with First Allied, and the absolute priority both First Allied and Financial Directions place on our relationship with you. Contact Office: 919-678-0007 Toll-Free: 919-678-8423 Fax: 919-675-1981 5001 Weston Parkway Suite 200 Cary, NC 27513 Send an Email Quick Links Retirement Investment Estate Insurance Tax Money Lifestyle All Articles All Videos All Calculators All Presentations Check the background of your financial professional on FINRA's BrokerCheck. The content is developed from sources believed to be providing accurate information. The information in this material is not intended as tax or legal advice. Please consult legal or tax professionals for specific information regarding your individual situation. Some of this material was developed and produced by FMG Suite to provide information on a topic that may be of interest. FMG Suite is not affiliated with the named representative, broker - dealer, state - or SEC - registered investment advisory firm. The opinions expressed and material provided are for general information, and should not be considered a solicitation for the purchase or sale of any security. We take protecting your data and privacy very seriously. As of January 1, 2020 the California Consumer Privacy Act (CCPA) suggests the following link as an extra measure to safeguard your data: Do not sell my personal information. Copyright 2021 FMG Suite. Securities offered through First Allied Securities, Inc. A Registered Broker/Dealer. Member FINRA & SIPC. Advisory Services offered through First Allied Advisory Services, A Registered Investment Adviser. First Allied entities are under separate ownership from any other named entity. This site is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced herein. We suggest that you consult with your financial or tax advisor with regard to your individual situation. This site has been published in the United States for residents of the United States. Persons mentioned in this site may only transact business in states in which they have been properly registered or are exempt from registration. Important Disclosures | Business Continuity Important COVID-19 NY EXECUTIVE ORDER Individuals affiliated with this broker/dealer firm are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services.