Our National Partners
Strength through association
Our broker/dealer: Commonwealth Financial Network®
As an independent investment advisory firm, we turn to Commonwealth to monitor our activities, process our transactions, and provide us with valuable services.
Most important, Commonwealth ensures that we follow all legal, regulatory, and compliance requirements of the Securities and Exchange Commission and FINRA. If we occasionally burden you with paperwork, it is for good reason. We are required to and would not be in business if we failed to do so.
As our broker/dealer and registered investment adviser, Commonwealth is responsible for ensuring that we:
- Follow all securities laws
- Remain properly registered and licensed
- Complete and maintain paperwork properly
- Demonstrate responsibility
- Disclose or avoid any conflict of interest
It also provides us with our intellectual material—investment research, training seminars, access to industry experts, and economic updates—plus regulatory and legal input that keeps us informed about our industry.
Commonwealth is one of the largest and best in the business, and it only works with investment advisors who maintain high ethical and professional standards. Brendan Conry is honored to serve on Commonwealth’s 16-member Advisory Council (out of approximately 1,450 advisors), where he represents the investment advisor community.
Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser.
Our brokerage agent: National Financial Services LLC
For clearing, custody, and other brokerage services, Commonwealth uses National Financial Services LLC (NFS), a division of Fidelity Investments. That is why monthly statements showing assets and activity, as well as year-end tax information, come to you from NFS. We do not hold any client funds. They are held by NFS in your name, and may only be transferred with your approval.
National Financial Services LLC, Member NYSE/SIPC, a Fidelity Investments® company.