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- Stuart Horowitz
- Rick Kiesel
- Amy Raisman
- Peter Scaduto
- Pat Henderstein
- Grace Simmons
- Stacie Walker
- Tracy Yudell
- Michelle Pinto
- Danny McDevitt
- Our Broker/Dealer
What is a Broker/Dealer?
A broker/dealer is a firm that oversees the activities of investment professionals (like us) to ensure that their clients' (your) best interests are being served. So, if you've ever purchased or sold investments through a registered investment professional, he or she was affiliated with a broker/dealer.
Why NFP, Inc.?
By federal regulation, all investment professionals must be affiliated with a broker/dealer. However, the firm ASAM chooses to affiliate with is completely up to us. Of the many good independent broker/dealers in our industry for us to choose from, we believe that our partnership with National Financial Partners, Inc. says a lot about our firm, and it is what makes us different from other independent representatives.
A Full Selection of Investments
Working with an independent broker/dealer means that we can select any investment we need to help you achieve your financial goals. At brokerage firms, such as Merrill Lynch, brokers don't have that freedom of choice. For the most part, they must sell what the firm tells them to sell.
Independence
NFP Securities, Inc., is a leading independent broker/dealer that provides a wide variety of financial products and services. Some of the products and services offered include Financial Planning and investment advisory services, corporate and executive benefits and life insurance and wealth transfer.
Questions to Ask Any Broker/Dealer
Whom do you report to?
Only financial professionals working with an independent broker/dealer can truly say they report to their clients. Other professionals report to a sales manager who sets specific targets for sales to existing clients. How will you ever know if the recommendations provided to you by such an individual are geared to your goals or to other factors?
Do you make more money when you sell a product developed by your firm?
It's not uncommon for a broker to receive additional financial incentives to push his or her firm's own products. In fact, certain investment firms will not even carry the competitors' products regardless of how well they perform. Rather, they offer suitable substitutes. We don't have such concerns.
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Copyright ©2008, Andrew Stuart Asset Management. All Rights Reserved.
Securities offered through Registered Representatives of NFP Securities, Inc., A Broker/Dealer and Member FINRA/SIPC Investment Advisory Services offered through Investment Advisory Representatives of NFP Securities, Inc. a Federally Registered Investment Advisor.
NFP Securities, Inc. is not affiliated with Fusion Financial. This site is published for residents of the United States only. Registered representatives and investment advisor representatives of NFP Securities, Inc. may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed. We employ Registered Representatives with securities licenses in California, Connecticut, District of Columbia, Florida, Georgia, Illinois, Indiana, Massachusetts, Michigan, Missouri, North Carolina, New Hampshire, New Jersey, New Mexico, New York, Oregon, Tennessee, Texas, Virginia, Washington, Wyoming, and Utah and the material is strictly intended for individuals residing in those states. No offers may be made or accepted from any resident outside these specified states.
For additional information, please contact the NFP Securities, Inc. Compliance Department at 512-697-6000.
