Top 5 Questions
Top 5 Questions of Going Independent
1. Will I be able to provide my clients with the best products and services?
• Absolutely. National Securities provides its registered representatives with access
to a wide range of products and services necessary to service all their client’s
• Access to high quality products and services is dramatically enhanced through
our relationship with National Financial Services LLC, Member NYSE/SIPC, a Fidelity
Investments ® company.
• The advancements in technology enable our independent financial advisors to easily
access all the resources and tools they need to service their clients.
• The Company’s focus is on servicing and supporting you so that you can focus your
efforts on working with your clients.
• The Firm will not pressure you to push proprietary products on your clients.
2. When I change firms will my clients transfer with me?
• You have spent years developing solid relationships with your clients. The trust
you have built with your clients will enable you to transfer a significant portion
of your clients.
• There are approximately 100,000 independent contractor representatives in the
United States and the number continues to grow. Clients have become accustomed to
working closely with financial representatives that operate in this capacity.
• Once your clients understand that you have joined National Securities to increase
your operating freedom and flexibility and expand the range of products and services
you can offer them, they will be comfortable making the transition.
3. Can I afford to cover the expenses associated with my business?
• You may be
paying for many expenses now through your low payout.
• The higher payout you will receive at National Securities should enable you to
cover the costs of your business. In fact, you may increase your net payout by managing
your business as you see fit rather than by relying on your firm to do it for you.
4. Will not being associated with a big name hurt me?
• No. Your clients rely on you and your advice not that of your firm.
• Given the exposed conflicts of selling proprietary products at large firms, your
clients will feel comfortable knowing that you have the freedom to choose which
products are right for them not which are right for the firm.
5. Will I have enough support from National Securities?
• At National Securities, everyone operates under the banner that “The broker is our
customer.” Our full operations, accounting, transition, supervision and compliance staff exist
to help you run your business.
• The Company’s executive management is always available to speak with you to ensure
you are supported in every way possible.
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