Our Broker Dealer and Compliance

Why it is important to engage an Independent Broker/Dealer

Broker/dealers buy and sell investment products on behalf of investors who are clients of financial advisors affiliated with the firm. Because we are an independent broker/dealer, financial advisors affiliated with us work for themselves in their own offices located throughout the U.S. and are free to help clients choose suitable investment products to help them reach their personal financial goals. We function as the unseen back office that processes client transactions and supports advisors as they provide financial assistance to investors.

The chart below displays where First Allied Securities, Inc. located in San Diego, CA, fits in with your financial advisor, the regulatory bodies, the clearing firms that house your funds, and you.

Where First Allied fits in the Financial Services Industry

Click Here to learn more about First Allied Securities, Inc