Cetera Advisors, our chosen broker-dealer, is the entity that is responsible for the oversight of its financial professionals. They provide a wide variety of investments, services and the resources to their financial professionals to best assist investors with their financial needs.
Cetera Advisors is securities brokerage firm regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority, Inc. (FINRA), and is subject to the rules of those entities as well as the rules of the Municipal Securities Rulemaking Board (MSRB) and all 50 states. The goal of these various entities is to ensure fair and efficient securities markets and provide for the fair treatment of investors.
Trademark Financial Management, LLC, A Registered Investment Advisor
Trademark Financial Management, LLC established in 2000 is an investment management and consulting firm located in Minnesota. Mark Carlton, Chartered Financial Analyst®, has been managing portfolios since 1987. He and his staff deliver focused investment management for individual investors and financial professionals, allowing them to concentrate on their personal life or core business with greater confidence. Trademark Financial serves our clients throughout the United States.
Often used as the custodian on our advisory accounts, TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,000 fee-based, Independent Registered Investment Advisors (RIAs) and their clients. Our advanced technology platform, coupled with personal support from our dedicated service teams, allows investment advisors to run their practices more efficiently and effectively, while optimizing time with clients.
Additionally, TD Ameritrade Institutional provides a robust offering of products, programs and services. These services are all designed to help advisors build their businesses and do the best possible job they can to help their clients with their financial goals.
Pershing, LLC is our brokerage custodian, and has been a leading global provider of financial business solutions for over 70 years. They serve more than 1,500 institutional, high-net-worth, and retail financial organizations and independent registered investment advisors. Collectively, their customers represent approximately five million investors and over $831.3 billion in assets serviced.1
Pershing, LLC a wholly owned subsidiary of Bank of New York Mellon, one of the largest banks in the world with over $24 trillion in total assets under custody and administration.