Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Finding the Right Partner

We know that even the most successful advisors need comprehensive home office support including compliance, technology and practice management. With an advisor to employee ratio of 8 to 1, we can provide advisors the service they deserve.

For a confidential conversation, contact us to get the conversation started. Our team understands the needs of today’s advisor and can provide you the information you need to make the best decision for your practice.

Six key considerations for evaluating firms are:

  ►   Philosophy and Culture

  ▼   Philosophy and Culture

At Broker Dealer Financial Services Corp. and Investment Advisors Corp., we take price in providing concierge-level service through our senior executives and managers with extraordinary visionary leadership. We are a family-feel firm with Wall Street muscle. Our Mission is that we are committed to providing our financial advisors with an exceptional partnership to ensure they have the support and resources needed to assist their clients in achieving their financial goals.

  ►   Stability

  ▼   Stability

Broker Dealer Financial Services Corp. and Investment Advisors Corp. are financially sound and continue to maintain a strong commitment to providing resources and support that help our advisors serve the needs of their clients. We have spent the last few decades consciously building a structure to ensure continued success. The firm has three majority owners and is an Employee Stock Ownership Program (ESOP) company.

  ►   Open Architecture

  ▼   Open Architecture

At Broker Dealer Financial Services Corp. and Investment Advisors Corp., we provide you the freedom to choose investment vehicles that best suit your business style and client needs. With our open architecture and no proprietary products being required, you will have independent selection of products and services to meet each client’s needs or goals.

  ►   Practice Growth

  ▼   Practice Growth

At Broker Dealer Financial Services Corp. and Investment Advisors Corp., we provide effective practice management solutions as just one of many ways we help our investment advisor representatives stay ahead of the competition.

  ►   Operations

  ▼   Operations

At Broker Dealer Financial Services Corp. and Investment Advisors Corp., our knowledgable Operations Department professionals provide an active relationship with advisors and their offices by sharing a range of front- and back-office responsibilities. The custodian (First Clearing, TD Ameritrade, Schwab, Fidelity or others) may be visible to the client by sending account statements and tax documents. We are happy to demonstrate robust technology solutions of each custodian and their operational platforms depending on your business model.

  ►   Transition Planning

  ▼   Transition Planning

At Broker Dealer Financial Services Corp. and Investment Advisors Corp., our dedicated team is committed to managing the transition timeline while keeping you informed every step of the way.

 

We are looking for Advisors with:

  • FINRA Series 7, 66, Life & Health licenes or Series 6, 63, Life & Health licenses
  • $150,000 Gross Dealer Concession (12 Month Trailing)
  • clean compliance history (i.e. no arbitration, litigation, customer complaints or disclosures)
  • clean credit history
  • diversified product sales
  • business plan explaining your methodology or replicating value to clients
  • want to grow business
  • if in a team (small ensemble group), succession plans or buy/sell agreements in place
 

If you are a talented, dedicated professional, we encourage you to learn more about our firm and review the current opportunities available within our organization.

 

Current Opportunities

Bank Financial Advisor (Northeast IA; Southeast IA and Des Moines Metro)

Financial Advisor (West Des Moines, IA Office)

Independent Financial Advisors (Scottsdale, AZ)

 

Ragbrai


RAGBRAI

Creating Opportunities

What Makes us an Exceptional Partner

We are a full-service firm with the speciality resources and expertise that you need and the personalized service you deserve.


A few of the things that make us different are:

  • Client-focus
  • Service-driven culture
  • Open architecture, flexibility and specialty solutions
  • Wall Street muscle with the personal touch of a family-feel business partner

Broker Dealer Financial Services Corp.:

  • State Registered in all 50 states, Puerto Rico, Virgin Islands and District of Columbia
  • Insurance licensed in 47 states and District of Columbia
  • Securities and Exchange Commission (SEC) - Registered Broker Dealer
  • Commodities Futures Trade Commission (CFTC) - Registered Introducing Broker
  • Financial Industry Regulatory Authority (FINRA) - Member Firm
  • Securities Investor Protection Corporation (SIPC) - Member Firm
  • National Futures Association (NFA) -Member Firm
  • National Securities Clearing Corporation (NSCC) - Member Firm
  • Municipal Securities Rulemaking Board (MSRB) - Member Firm
  • Securities Industry and Financial Markets Association (SIFMA)

Investment Advisors Corp.:

  • Securities and Exchange Commission (SEC) - Registered Investment Adviser
  • Notice filed in 48 States and the District of Columbia
 

Please contact us to learn more at (844) 468-5800 or join us. We welcome you to continue exploring the benefits of being affiliated with Broker Dealer Financial Services Corp. and Investment Advisors Corp.
 


We are committed to providing our financial advisors with an exceptional partnership to ensure they have the support and resources needed to assist their clients in achieving their financial goals.

Broker Dealer Financial Services Corp.
Investment Advisors Corp.

140 South 68th Street
West Des Moines, Iowa 50266

Member: FINRA / SIPC / SIFMA

©2016 Broker Dealer Financial Services Corp - All Rights Reserved
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Securities offered through Broker Dealer Financial Services Corp., Member SIPC. Advisory services offered through Investment Advisors Corp., an SEC registered investment advisor.

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