Below are a few financial questions we have answered to enhance the transparency of our services. If your question is not answered below, please contact us.
What is an independent financial advisor?
Independent financial professionals are not employees of an investment or financial services firm – they are independent business owners. They have the freedom to provide objective advice and structure their business in a manner that best serves the client’s financial goals. An independent financial professional utilizes a broker-dealer who provides services that include processing investment business, marketing assistance, practice management and education.
Is my money safe from fraud?
Securities regulations are designed to protect clients’ funds and fully paid for securities when they are in custody at a registered broker-dealer. The Securities Exchange Commission (SEC) is an agency of the U.S. government that oversees the Financial Industry Regulatory Authority (FINRA), which in turn oversees broker-dealers, clearing firms and the financial advisor.
All of our clients’ money is managed through Titleist Asset Management. Titleist allows for a choice of custodians between Raymond James, Fidelity and Schwab.
Who supervises the activities of Bullinger Wealth Management?
The licensed individuals within Bullinger Wealth Management are subject to compliance, reporting and regulations set by the Securities and Exchange Commission (SEC) and the Financial Institutions Regulatory Association (FINRA). Our team members are also responsible to stay in continued dialogue with the compliance division of Titleist Asset Management over investment recommendations. Serving as a fiduciary to our clients’ needs is at the forefront of everything we do.