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Products & Services

Our Investment Portfolio

Offering a wide-range of investment opportunities.

Through our affiliation with First Allied, we provide a wide-range of diversified financial products. Together, we offer you the objectivity of working with an independent financial consultant combined with the stability and strength to access the world's financial markets and a wealth of investment resources. Below is a detailed list of financial product offerings through First Allied.


  • NYSE-listed Stocks
  • NASDAQ over-the counter
  • All other major exchanges
  • Foreign stocks
  • ETFs, CEFs, ADRs
  • Margin accounts
  • Corporate finance
  • Investment banking
  • 144 and other restricted securities sales
  • Employee stock-option plans

Cash Management

  • Daily sweep accounts
  • Money markets
  • FDIC Insured CDs
  • Online account access

Retirement Accounts

  • IRAs
  • SEP/IRAs
  • Roth IRAs
  • Education IRAs
  • Simple IRAs
  • Defined contribution
  • Money-purchase pension plan
  • Profit-sharing plan
  • 403(b)
  • 401(k)

Mutual Funds

  • Open-end funds
  • Closed-end funds
  • Networking
  • Dividend reinvestment

Unit Investment Trusts

Asset Management

  • Independent manager search
  • Performance monitoring and reporting
  • Wrap-fee accounts
  • Asset allocation
  • Fee-in-lieu accounts
  • Outside managed accounts


  • CDs (Short to Long Term, Inflation Indexed, Step Coupon, Callable, Putable at Death and more)
  • CMOs
  • Convertible
  • Corporate (High Grade, High Yield, Zero Coupon, Indexed Coupon, Step Coupon and more)
  • Municipal (Build America Bonds and Tax Frees from all 50 states plus triple tax frees from U.S. Territories including Puerto Rico, D.C, Virgin Islands, Guam and others)
  • Zero coupon (Strips, Treasury, Taxable, Tax Free, Municipal, Corporate)

Government Securities

  • Agency Paper
  • Ginnie Maes
  • Treasury bills
  • Treasury bonds
  • Treasury notes


  • All major exchanges


  • Fixed annuities
  • Variable annuities
  • Term life
  • Variable life
  • Universal life
  • Whole life
  • Disability
  • Long-term care

Alternative Investments

  • REITs
  • Equipment leasing
  • Managed futures
  • Equity-linked notes
  • Oil & Gas Programs
  • Tax Credit Programs
  • Real Estate LLC’s
  • Mortgage Funds

And More . . .

  • Education and 529 plans

For more information on any of the above investment products and services, please contact your representative. Use the email link on the home page, or call 866-788-7753.