Our Broker/Dealer

Building - Broker Dealer
 

 

If you'd like to know more

We'd be glad to talk with you further or answer any questions you may have about our affiliation with Commonwealth. Please feel free to give us a call.

Committed to helping those in need

Commonwealth's commitment to service does not end with its advisors and their clients. For more than three decades, the firm has been dedicated to serving the communities where its employees and affiliated advisors work, live, and visit. Commonwealth Cares, a 501(c)(3) charity, was formed in 2010 to maximize the impact of those efforts. The foundation's mission is to provide contributions of time, talent, and financial support to a wide range of philanthropic efforts aimed at relieving human suffering, promoting social and economic growth, and sustaining and protecting our planet's resources. That kind of dedication to the greater good is just one more reason we're proud to be affiliated with Commonwealth.

 

Your broker/dealer? You mean you, yourselves, are not a broker/dealer?

Of course, some of you already know about this somewhat convoluted distinction. But, for those who don't, here's the deal.

 

In the eyes of the Securities and Exchange Commission (SEC), the Chicago Oakbrook Financial Group is a group of "registered financial professionals." Companies such as ours are overseen by the Financial Industry Regulatory Authority (FINRA)—while broker/dealers are overseen by the SEC. Our company is not allowed to directly buy and sell investment products on your behalf. We are required to be affiliated with a "broker/dealer" who executes the actual transactions. 

 

There are many broker/dealers out there. Some are better than others. The best ones are in a position to be very selective about which financial professionals they choose to partner with. We believe that we are partnered with one of the best broker/dealers in the country. In order to understand why we say that, we will need to get a little wonkish, so bear with us.

 

 

The Uncommon Value of Commonwealth

The fact that we've chosen to work with Commonwealth Financial Network® (Commonwealth), an independent broker/dealer–RIA, means that our firm remains independent and free to act in your best interest, without any pressure to promote proprietary products or strategies. It's a model that differs from that of some other, larger financial firms whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.

 

Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they're needed and to act in the best interests of its financial advisors and their clients—not shareholders.

 

How Commonwealth helps us help you

Commonwealth goes far beyond what's required of a broker/dealer; the entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It's that infrastructure—and the always-expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.
 

  • Investment choice. Commonwealth offers us robust, independent market research and a wide universe of third-party investment options—from individual stocks and bonds to mutual funds, exchange-traded funds, alternative investments, managed accounts, and retirement plans. Our access to Commonwealth’s expert, impartial guidance and a diverse range of products helps ensure that we remain free to operate in your best interest and to make recommendations based on your financial objectives, personal investment style, and risk tolerance.

  • Service. The firm's advisor-to-staff ratio is one of the best in the industry. This means staff members answer our calls promptly, execute transactions quickly and accurately, and, in general, offer our firm the same first-class treatment we strive to give you.

  • Technology. Commonwealth's technology platform is a critical component in our ability to provide you with first-class service and support. Its integrated web-based systems allow us to more efficiently manage your portfolio and your overall financial picture.

  • Security. Commonwealth is second to none in its commitment to safeguarding your privacy and ensuring that your investment data remains secure. From encryption standards to disaster recovery plans and other measures the firm employs, we are confident that the information our clients entrust us with will remain secure.