Broker Check

Our Broker Dealer - Cetera Advisor Networks LLC

We are affiliated with Cetera Advisor Networks LLC (Cetera), one of the premier broker-dealers in the business today and one of the five broker-dealer groups under the Cetera Financial Group umbrella.  Our Associates include Registered Representatives who offer securities’ products through Cetera.  As a broker-dealer, Cetera is responsible for executing investment related trades for client accounts.  Like all broker-dealers, the firm must undergo regular audits and maintain specific net capital requirements to ensure it can meet its obligations to investors like you.  Cetera does not manufacture investment products or have proprietary products for sale to clients.

Our Custodian - Pershing LLC

Pershing LLC is a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank, and one of the world’s leading providers of securities services.  The firm holds or “custodies” the assets in brokerage accounts for Cetera Advisor Networks LLC, as well as many other broker-dealers worldwide.  Pershing LLC also provides account related administrative services including settlement of trades, tax and account record keeping, online account access, monthly statements, and data integration.  The firm must also meet strict net capital requirements and is subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation, and protection of investor’s assets.    

Mid-Atlantic Trust Company

Mid Atlantic Trust Company is a non-depository state chartered trust company and part of the Mid Atlantic Capital Group, Inc. (MACG) based in Pittsburgh, PA.  The firm provides custody, brokerage, and trade processing for some retirement plans managed by FMS.  The firm has more than $50 billion in assets under custody and administration and processes more than 1.4 million fund trades on a monthly basis.