Investment Services

SagePoint is an independent broker-dealer that provides us with back office, technology, regulatory and operational support. Thanks to our association with the firm, we can offer you access to thousands of diverse financial strategies. SagePoint is not in the business of creating and marketing their own investment products – their only "products" are service and support. Therefore, we can offer objective, independent investment advice, with no obligation to promote any particular investment. After all, we don't work for SagePoint. We work for our clients.

SagePoint works with approximately 1,700 independence-minded financial advisors like us, with offices across the United States. As part of one of the largest networks of independent broker-dealers in the country – Advisor Group – SagePoint provides stability and financial strength that has been maintained through various market cycles.

Advisor Group, with a total of more than 4,900 license financial advisors, is a wholly-owned subsidiary of SunAmerica Financial Group.


Have you ever wondered what exactly happens to your funds once you've decided to make an investment? 

A financial professional's "clearing firm" may have a lot to do with the answer. Pershing, LLC (member FINRA, NYSE, and SIPC) – a trusted, established, and financially stable financial services firm – provides clearing services for our practice.

A clearing firm works with various financial exchanges to handle confirmation, delivery and settlement of your financial transactions.

Such firms employ technology and procedures designed to ensure that transactions are processed in a timely and efficient manner. Additionally, clearing firms prepare and send periodic account statements and transaction confirmations to investors. The SEC and FINRA, the regulatory bodies that oversee broker-dealers, also oversee clearing firms.

Pershing, LLC has been a leading global provider of financial business solutions for over 70 years and serves many of the world's most respected financial organizations. Your assets are not held at our firm, nor are they held at SagePoint. Pershing is a separate and independent entity, and a subsidiary of The Bank of New York Mellon Corporation, a leading provider of financial service for institutions, corporations and high-net-worth individuals. 

Pershing is a member of SIPC (Securities Investor Protection Corporation) which protects securities customers.

Pershing, LLC is not affiliated with SagePoint Financial, Inc