Advisor Services

To expand the menu panel use the down arrow key. Use Tab to navigate through submenu items.

Securing digital operations to meet client goals

Submitted by chris.troutman on October 5, 2017

[My Independence Day
December 31, 1996
Marita Sullivan
JMG Financial Group]

When we decided to go independent, probably our greatest fear was that it wouldn't work. The broker-dealer that we had custodied with when we suggested that we wanted to do this told us that that would never, ever work, and that was in 1996.  So we met Schwab, we ended up moving our assets to Schwab, and it has worked wonderfully.

It's very frightening what can happen to clients over the Internet. We look to Schwab for guidance in this. They have helped us with compliance. They have helped our clients when they were worried about possible identify theft where they kept us informed. They really have helped us with our back room. They also have worked with us on our internal computer programs. And so we very much rely on Schwab and their back offices.

What really makes me empowered is to help clients reach their goals, to be able to look at several different alternatives, and to really help them choose the correct one.

My independence day was December 31st, 1996.

[Charles Schwab]
[Own your tomorrow™]

[Charles Schwab]

[Disclosures

Meant for institutional audiences.

The named advisor and advisory firm are independent and not affiliated with Schwab. Their mention is not, and should not be construed as a recommendation, endorsement or sponsorship by Schwab.  Schwab does not endorse or supervise advisors and does not prepare or verify information distributed by advisors.

The views expressed are for general information purposes only and are not intended to be a substitute for specific individualized legal or compliance advice.  Where specific advice is necessary or appropriate, Schwab recommends consultation with a professional.  Examples described are for illustrative purposes only and does not represent a guarantee of future performance or success and may not be representative of your experience.

Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab.  Independent investment advisors are not owned by, affiliated with or supervised by Schwab.

©2014 Charles Schwab & Co., Inc. ("Schwab").  All rights reserved.  Member SIPC.  (0914-5586)]

Advisor Marita Sullivan of JMG Financial Group talks about how being an independent registered investment advisor has worked wonderfully for the firm and for clients.

Show Social Media
On
Show
Hide
Include in Schwab Investing Insights email alerts
Yes
(1019-9VXL)