Broker Check

Strategic Alliances

As an independent hybrid RIA firm registered with the SEC, Financial Management, Inc. uses a variety of custodians to hold, safeguard, and maintain accounts for their clients. These custodians vary in their services and niches, but mostly perform functions such as trading, tax reporting, client statements, online access, distributions and other administrative services. Financial Management, Inc. clients receive a client statement from the custodians that hold their accounts and all financial transactions run through the custodian, rather than Financial Management, Inc. holding their client’s money in a Financial Management, Inc. account. We manage the portfolios, and the custodians perform the administrative tasks and maintain the funds in your accounts.

Our Strategic Alliance with LPL Financial

LPL Financial is one of the United States' largest organizations of independent financial representatives. Today, LPL Financial is America's No.1 independent brokerage firm* -- with more than 17,000 financial advisors nationwide. LPL Financial advisors invest or manage $230 billion every year in brokerage products and advisory programs.

LPL Financial has objective, independent research on individual stocks, bonds, mutual funds, annuities and investment managers across every asset class.

LPL Financial At-A-Glance

Our Strategic Alliance with Charles Schwab

The Charles Schwab Corporation provides a full range of brokerage, banking & financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc., Member SIPC ( & its affiliates offer investment services & products. Its banking subsidiary, Charles Schwab Bank (member FDIC & an Equal Housing Lender), provides deposit & lending services & products.

Our Strategic Alliance with TD Ameritrade

TD Ameritrade combines innovative trading technology, easy-to-use and understand trading tools, investment services, investor education and outstanding client service to create a great financial services experience.


*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.