Operations & Trading

As part of our commitment to provide quality service to you, we have formed a strategic business alliance with one of the nation’s largest securities custody and clearing firms, National Financial Services, LLC.  National Financial is a Fidelity Investments® company and is a member of the NYSE and SIPC.  For more than 25 years, National Financial has provided institutional clearing and execution services.  With leading edge technology, National Financial incorporates innovative products and programs, supported by dedicated client service professionals and trusted industry alliances.   The Trading & Operations Teams are your liaisons to National Financial, dedicated to servicing all of your and your client’s needs. We will process your retail brokerage account business in a timely and accurate manner  with a friendly attitude.  We will also keep you informed of the products and services available to you through our clearing partner, National Financial Services, LLC.

Trading Department Overview:  Trading can assist you with your retail brokerage based trades including stocks, fixed income, mutual funds, UITs, and options. The department can also answer all questions you may have with regard to trading, allowable commissions, ticket charges, trade corrections, margin, etc.

Operations:  Operations is responsible for establishing and servicing all of your retail brokerage accounts.  These servicing items include establishing account questions, cashiering, and account transfers.

Technology Packages Available

  • Streetscape - is available to our representatives and administrative staff free of charge.  This platform is used to access your National Financial retail brokerage accounts which includes, trading, account service, reports, planning, market information, and research tools.
  • Thompson One - is an add-on service that you can elect to utilize in your office at an additional charge. This tool will provide real time quotes as well as additional reporting capabilities.
  • Access Online - is available for your clients to view their individual brokerage accounts..  Access Online can also provide electronic statements, confirmations and tax documents.



WordPress Appliance - Powered by TurnKey Linux