Customer Service

Our core values of care, competency and character all resonate in the service we provide for our advisors. We call our customer service policy C.A.R.E.S. And judging by our retention rate of 99%, it works.


Consistency, Accuracy, Responsiveness, Empathy and Service. C.A.R.E.S. is our firm’s commitment to deliver above and beyond customer service every day. We understand that it is uncommon for a broker-dealer to invest so much time, energy and resources into such a “soft” commodity, but we firmly believe that it is one of the secrets of our success—and yours.


  • We will take ownership and accept responsibility for the service we provide to our financial advisors.
  • We will make it easy and work smart.
  • We keep our knowledge and skills current.


  • We will get accurate answers to our advisors the first time.
  • We will listen carefully to you and ask clarifying questions.
  • Our responses will be clear and understandable.


  • We will provide timely service to you.
  • We will provide you with regular status updates on the progress of your requests.


  • We will place ourselves in your position and consider how the services we provide affect your clients.
  • We will be respectful, professional and helpful in all interactions.
  • We will fulfill your requests or look for alternative solutions.


  • We will deliver to you predictable and reliable service.
  • We will “Do the right thing”.
  • We will have a positive attitude.

Maintaining Excellence by Hiring the Best

Our entire staff undergoes annual customer service training to reinforce the principles upon which our company was founded. Service is our passion and it is this passion that shines through in every interaction and in every employee. Each advisor that joins our team says that they join us in large part because of the way we make them feel. It’s because of this that we provide positive, proactive and anticipatory service to our advisors every single day.