Our Broker Dealer What is a broker/dealer–RIA?A broker/dealer–RIA is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.Why Kestra Financial, Inc.?The fact that we've chosen to work with Kestra Financial, Inc. means that our firm remains independent and free to act, 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.Kestra Financial, Inc. is also independently owned and managed, which means the firm retains the freedom to allocate resources where they're needed and to empower the success of its financial advisors and their clients—not shareholders.About Kestra Financial, Inc.1Headquartered in Austin, Texas, Kestra Financial, Inc. provides an industry-leading platform that empowers sophisticated independent financial advisors to provide clients with superior service. With an energetic culture rich in reinvention and advocacy, we’ve developed integrated business management technology that offers exceptional scale and efficiency.Financial advisors who associate with Kestra Financial, Inc. have access to a wide range of tools and services they can use to help clients achieve their financial goals, including investment advisory, brokerage, and insurance services. Before being offered to clients, certain products must pass a rigorous vetting and due diligence process performed by a team of experienced professionals at Kestra Financial, Inc.Investment choice. Your financial objectives, personal investment style, and risk tolerance are the only criteria that influence our recommendations to you. Kestra Financial, Inc. offers us access to a wide selection of third party investment vehicles and truly objective, independent research from its in- house analysts, helping to ensure that we have the freedom to operate solely in your best interest.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. The technology platform available through Kestra Financial, Inc. 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. Kestra Financial, Inc. 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.If You’d Like To Know MoreWe’d be glad to talk with you further or answer any questions you may have about our relationship with Kestra Financial, Inc. Please feel free to give us a call.1Kestra Financial, Inc. is the parent company of Kestra Investment Services, LLC, member FINRA/SIPC, and of, Kestra Advisory Services, LLC,.