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.

Park Avenue Securities

Our insurance agency partner, Park Avenue Securities, provides us with specialized support, backed by decades worth of combined advisor experience. This enables us to do what we do best — listen to our clients and help them to enjoy fuller and more secure financial lives. Park Avenue Securities does this by providing access to a wide range of products and services. Because Park Avenue Securities doesn't own an investment bank or a capital markets division, they can focus on working only for you.

One of the things we value most about Park Avenue Securities, a wholly owned subsidiary of The Guardian Life Insurance Company, is their very long history of standing alongside the people they serve. This sustained familiarity and shared purpose enables them to be innovative and responsive to our clients' needs. We believe that this partnership ultimately allows to provide a very high level of confidence in an uncertain and ever-changing world.