Who are DFPG’s Clearing Firms?
DFPG has a clearing relationship with RBC Correspondent Services, a division of RBC Capital Markets, LLC, Member NYSE and subsidiary of Royal Bank of Canada. RBC serves as custodian for both brokerage and fee-based business, and is also able to custody many of our alternative investments.
Additionally, DFPG also works with TD Ameritrade, Charles Schwab & Co, Inc., and Schwab Advisor Services.
May I keep my Registered Investment Adviser (RIA)?
Yes, while at DFPG you may keep your RIA. However, you have the option to join DFPG’s RIA that provides a vast amount of advisory services to help meet your clients’ needs.
Can you tell me about your approach to compliance?
DFPG has an experienced compliance department that prides itself in providing a partnership to all of our representatives. They are there to serve as your consultants and counselors in all questions regarding compliance. Click here to learn more about our robust compliance approach.
Can I continue to offer insurance business with DFPG?
Yes. DFPG’s partnership with Crump Insurance, one of the world’s largest insurance brokerages, provides ours representatives with access to a robust platform of insurance solutions.
What conferences do you offer and are they mandatory?
We host an annual conference, typically in the late summer/early fall. The focus of the conference is to help our reps develop and gain tools to grow their business. We also focus on portfolio and practice management solutions, including best-in-class product presentations from our sponsors. Attendance is highly recommended. To learn more about our conferences and educational events click here.
What Money Management services do you offer?
DFPG’s Wealth Management division offers a diverse offering of money management solutions. Representatives have the choice of various third-party money managers offered through our partnership with RBC Correspondent Services, TD Ameritrade, Charles Schwab & Co, Inc., and Schwab Advisor Services.
Can I continue to use my existing business name?
Yes. You will also have access to our marketing department’s assistance to help your business branding, marketing, and website needs.