(866) 260-6929 info@regentone.com Home Services Resources News About Contact Client Log in Our Broker/Dealer Home » Our Broker/Dealer What is a Registered Investment Adviser–broker/dealer? A Registered Investment Adviser–broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf. Why Commonwealth Financial Network®? As the nation’s largest privately held Registered Investment Adviser–independent broker/dealer with $1.425 billion in annual revenues*, Commonwealth has the scale, stability, and resources to help us deliver the solutions our clients need. With a staff of more than 900, Commonwealth helps approximately 1,900 independent advisors* serve their clients and manage total account assets of approximately $161 billion.* The fact that we’ve chosen to work with Commonwealth means that our firm remains independent and free to act in your best interest, without any pressure to promote proprietary products or strategies. It’s a model that differs from that of some other, larger financial firms whose financial representatives are accountable not just to their clients, but also to the parent company that employs them. Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they’re needed and to act in the best interests of its financial advisors and their clients—not shareholders. How Commonwealth helps us help you For the fifth straight time, J.D. Power names Commonwealth “Highest in Independent Advisor Satisfaction Among Financial Investment Firms.”** But it’s what that achievement means for our clients—on a daily basis—that makes the difference. Commonwealth goes far beyond what’s required of a broker/dealer; the entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It’s that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve. Investment choice. Your financial objectives, personal investment style, and risk tolerance are the only criteria that influence our recommendations to you. Commonwealth offers us access to a virtually limitless selection of third-party investment vehicles and truly objective, independent research from its in-house analysts, helping to ensure that we have the freedom to operate solely in your best interest. Service. The firm’s advisor-to-staff ratio is one of the best in the industry. This means staff members answer our calls promptly, execute transactions quickly and accurately, and, in general, offer our firm the same first-class treatment we strive to give you. Technology. Commonwealth’s technology platform is a critical component in our ability to provide you with first-class service and support. Its integrated web-based systems allow us to more efficiently manage your portfolio and your overall financial picture. Security. Commonwealth is second to none in its commitment to safeguarding your privacy and ensuring that your investment data remains secure. From encryption standards to disaster recovery plans and other measures the firm employs, we are confident that the information our clients entrust us with will remain secure Committed to helping those in need Commonwealth’s commitment to service does not end with its advisors and their clients. For more than three decades, the firm has been dedicated to serving the communities where its employees and affiliated advisors work, live, and visit. Commonwealth Cares, a 501(c)(3) charity, was formed in 2010 to maximize the impact of those efforts. The foundation’s mission is to provide contributions of time, talent, and financial support to a wide range of philanthropic efforts aimed at relieving human suffering, promoting social and economic growth, and sustaining and protecting our planet’s resources. That kind of dedication to the greater good is just one more reason we’re proud to be affiliated with Commonwealth. If you’d like to know more We’d be glad to talk with you further or answer any questions you may have about our affiliation with Commonwealth. Please feel free to give us a call. *As of 12/31/18 **Commonwealth Financial Network® received the highest score in the independent advisor segment of the J.D. Power 2010, 2012, 2013, 2014, and 2018 Financial Advisor Satisfaction Studies of customers’ satisfaction among financial advisors. Visit jdpower.com/awards. This communication is strictly intended for individuals residing in the states of California, Florida, Idaho, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Vermont. No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services. Securities and Advisory Services offered through Commonwealth Financial Network, Member FINRA, SIPC, a Registered Investment Adviser. 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