Service and Support

Our network of dedicated people, proven processes and state-of-the-art technology assist you in day-to-day operations so that you can spend more time focusing on your clients.

Your Customized Transition

From the moment you decide to join us and each day after, we provide you with a level of service that reinforces the wisdom of your choice. We customize our transition process around you and your clients, with a focus on minimizing, if not eliminating, any disruption to your business. Our 90-in-90 Transition Plan focuses on transferring 90% of your accounts in 90 days with minimal disruption and stress.

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Operations Support and the Resource Center

An effective mix of industry-experienced professionals and technology, our online resources enable services 24 hours a day, seven days a week so you can streamline your trade processing, clearing and record keeping and deliver accurate and timely client statements. Our Resource Center can answer most of your questions immediately, taking ownership of any concerns you have until a resolution is reached. In addition to general questions, our Resource Center handles commission inquiries, technology questions, status updates, and escalated operational issues.

Is Your Compliance Team the Go Department?

With the regulatory landscape in a seeming constant state of change, having teams of dedicated professionals looking out for you and your business is essential to helping you protect your practice. Our compliance team is there to review your requests, examine your books and marketing materials, and inform you of regulatory change throughout the year. Our team is not only knowledgeable, they possess a can-do attitude that focuses on solutions that both manage risk and help you achieve your business goals.


SmartWorks®, our fully integrated, online technology hub and advisor workstation, is a one-stop shop for everything you need to manage your business. It allows you to access accounts, place trades, retrieve client notes, view current account data, access market intelligence, and review performance through multilevel reporting capabilities.