Broker Check

Service Promise & Standards

What you can expect as a member of Professional Investors Network:

  1. You will have access to all staff during normal business hours, excluding holidays declared annually by the NYSE. If we are occupied when you contact us, we will return your call as soon as possible.
  2. Your business will be processed same day if submitted to us electronically in good order.
    • If not submitted electronically, your business received in good order will be overnighted to the vendor.
    • If your business is not in good order, we will correct it or call your office to outline corrective measures.
    • If your business not in good order, we will not hold it more than 5 business days.
  3. You will work directly with us rather than Securities America on business operations and processing. This lets us:
    • Capture all your business digitally; we convert paper to digital versions for you.
    • Apply our operations expertise to your business prior to submission.  
    • Shorten the processing time on all business.
    • Give you experienced staff assistance based on our familiarity with your business.
  4. Your phone calls and emails will be answered promptly and courteously.
  5. Your time out of the office -- whether vacation or meeting with clients -- will be covered by our staff. 
  6. You have free use of our facilities and conference rooms for client meetings.


We Expect Our Member Offices to:

  1. Run an ethical, compliant shop.
  2. Treat everyone professionally, with courtesy and respect.
  3. Attend our member meetings and contribute your knowledge and expertise to the group. We believe members learn best how to run a successful practice from other members.
  4. Implement an advisory focus as the primary model for your business, if it isn't already. The industry is moving to a fiduciary care standard and level compensation. We can assist you in transitioning new and existing clients to fee-based accounts when in their best interest, opening new opportunities to gather assets and solidify your relationships.
  5. Whether in conjunction with our office or independently, to develop their own version of a "financial plan" for themselves when it comes to how they want their business handled at retirement, death or disability.