Supporting Your Financial Journey

As the financial profession grows more complex, my practice is continuously evolving to meet the needs of my clients and the requirements of the industry. As an independent financial advisor, I have the ability and access to choose the most appropriate resources and specialists to help us stay a step ahead.

While my most important relationship remains with you, I want to share some information about a few companies and technology platforms that you may hear as we navigate your financial plans.

By affiliating with Private Advisor Group, one of the leading Registered Investment Advisor firms in the country, I am connected to a community of over 750 financial professionals nationwide. This provides me access to industry-leading services and resources, which includes:

Sophisticated tools to help in planning, researching, documenting progress and applying changes and updates to help you navigate your financial journey

  • An extensive team of compliance professionals to ensure adherence to fiduciary obligations
  • Leading technology providers that offer financial planning software, market insights, practice management support, and tools to help my practice run smoothly while serving you efficiently
  • Practice consulting and growth programs to deliver a greater variety of innovative services
  • Practice protection, and business continuity and succession solutions for uninterrupted service

I also have access to flexible custodian platforms (essentially where your cash and securities are held) which now encompass: LPL Financial, Fidelity, Charles Schwab, BNY Mellon | Pershing, TD Ameritrade and Interactive Brokers. These providers help in safeguarding assets, while also providing related administrative services such as settlement of purchases, tax and account record keeping, monthly statements, confidentiality, data integrity protections, and more.

Performance and Industry Recognition:

For more information, visit

If you have a brokerage account with me, I am also partnered with LPL Financial. LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve,* supporting nearly 20,000 financial advisors, and approximately 800 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

*Top RIA custodian (Cerulli Associates, 2020 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States.

Financial Regulating Bodies to Know

The asset management industry is largely governed by two bodies. Here’s a bit more on those agencies but please don’t hesitate to ask if you have questions about my licensing or qualifications.

U.S. Securities and Exchange Commission

The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public’s trust. Learn more at


Financial Industry Regulatory Authority, every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. Learn more at or

It’s important to note that other agencies regulate the financial industry including the Federal Reserve, the U.S. Treasury Department and the FDIC. There are national and state authorities and agencies and while may have different focuses, know that there are organizations helping protect the interests of investors.