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Frequently Asked Questions

FAQ

What is an independent financial advisor?

Independent Registered Investment Advisers are professional independent advisory firms that provide personalized financial advice to their clients, many of whom have complex financial needs. Because these advisors are independent, they are not tied to any particular family of funds or investment products. As fiduciaries, they are held to the highest standard of care—and are required to act in the best interests of their clients at all times. They are registered with either the Securities and Exchange Commission or state securities regulators.

What does being a Fiduciary mean?

A fiduciary is a professional entrusted to manage assets or wealth while putting the client’s best interests first at all times. Financial advisors who follow a fiduciary standard must disclose any conflict, or potential conflict, to their clients prior to and throughout the advisory engagement. Fiduciaries will also adopt a code of ethics and will fully disclose how they are compensated.

What separates us from other financial advisors?

A combination of independence, comprehensive service, and client focus sets us apart. As an independent Registered Investment Advisor, we provide the best advice for each client’s specific situation and needs without concerning ourselves with the agenda of a parent company. Our services range from financial planning to investment management to estate planning—we can meet a wide range of needs under one roof. Finally, we are oriented toward providing each client the attention and service they deserve. We treat our clients as individuals and not numbers.

Where is my money kept?

In our advisory role, we never take custody of client assets. We utilize TD Ameritrade Institutional as the custodian of client accounts and as our primary broker. Our relationship with TD Ameritrade Institutional is an arm’s length transaction with no exchange of funds between TD Ameritrade Institutional and us. When your account is established with TD Ameritrade Institutional, you provide us with limited trading authorization on your account. This authority allows us to process trades directly in client accounts.

How do I begin?

Typically, we only need a copy of your most recent investment account statements and your signatures on a few forms. We will take care of reviewing your current strategy, making recommendations, and setting up your new accounts for transferring your assets to.

Investment Advisory Services Offered Through Team Financial Group, LLC, a SEC Investment Advisor located in the State of California DBA Team Wealth & Tax Advisors. Insurance products and services are offered through Team Financial & Insurance Services, LLC, an affiliated company. CA License #0L50753. All Tax related services provided through TeamTax, a separate company.
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