Broker-Dealer Profiles - Commonwealth


Discover Five Ways To Get Satisfied

Be the kind of advisor you want to be, and get all the support you need to serve your clients and grow your business. At Commonwealth, we offer five ways to affiliate, so you can select the model that works best for you now and have the flexibility to get where you want to go in the future. What’s most satisfying—it’s all backed by a dedicated community of people focused solely on doing what’s right for you and your clients, every single day.


You Choose Your Growth Path

No one model is right for everyone—or necessarily right forever. That’s why we help you sort through the complexities and nuances of five different options, so you can pursue the mix that’s right for your evolving business needs and objectives:


Traditional Representative. Participate in straight commission-based brokerage business.

Dual Registration. Take full advantage of our broker/dealer and investment adviser registrations to conduct your commission- and fee-based businesses. Hybrid. Maintain your commissionbased revenue stream and conduct your advisory and planning business through your own RIA.

IAR-Only. Conduct an exclusively fee-based business as an IAR of Commonwealth—with access to the full array of investment choices your clients demand.

RIA-Only. Experience all the advantages of running your advisory and financial planning business through your own RIA, without the responsibilities of maintaining your own infrastructure. You create the fee structure that works for you and enjoy complete flexibility in how you market and run your business.


We Take Care Of The Rest

Whatever path you choose, we’ve got you covered with flexible, holistic support that works for you both today and as your business evolves, including:


Fully integrated technology that covers all the functionality and solutions you depend on most and more.

Practice management consulting to provide guidance on staffing, marketing, succession planning, and more.

Compliance support and tools, or complete oversight and auditing, depending on your choice of affiliation.

Advanced planning expertise to help you provide solutions for clients with complex needs and share your vision for success.

Research analysis and support from our award-winning team to help you deliver the knowledge and guidance your clients expect.

Bringing it all together is a community of people who celebrate your individuality and share your vision for success.


The Right Move Is The Last
One You Have To Make

Having the support of the largest privately held independent broker/dealer– RIA is all about one thing: consistency. It means that, no matter where you want to be or what choices you make along the way, you’ll have the right combination of infrastructure, people, and indispensable service you and your clients can rely on, day in and day out, year after year. Ready to feel the satisfaction?



CONTACT: Andrew Daniels | Commonwealth Financial Network®
29 Sawyer Road, Waltham, MA 02453 | 866.462.3638 | | Member FINRA/SIPC