Wealth Management
Custody and Clearing
Enterprise and Entrepreneur Solutions

Custody and Clearing

Provides advice for investments held in virtually any custodian bank

Custody and Clearing

Advisory Investor Services (AIS) provides advice for investments held in virtually any custodian bank. However, there are several “preferred” custodians we work with as well.

Preferred Custodians Depending on Client Preferences and Needs

Pershing - Bank of New York Mellon

BNY Mellon | Pershing is a leading provider of clearing and custody services. Click here for more information.

Click here to log into your Pershing account online:

Charles Schwab

You may select Charles Schwab & Co., Inc. or another brokerage firm to custody your assets and effect transactions on your account. Charles Schwab & Co, Inc. (“Schwab”) has more than 30 years of experience serving independent advisors. Schwab was a pioneer in the business of exclusively serving independent, fee-based investment advisors and their clients. As a registered broker-dealer and a member of the Securities Investor Protection Corporation (SIPC), Schwab is subject to certain regulations intended to protect assets held in brokerage accounts maintained at Schwab. 1

Click here to log into your Charles Schwab & Co. account online:

Interactive Brokers

Interactive Brokers LLC is a registered Broker-Dealer, Futures Commission Merchant and Forex Dealer Member, regulated by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), and is a member of the Financial Industry Regulatory Authority (FINRA) and several other self-regulatory organizations. Interactive Brokers does not endorse or recommend any introducing brokers, third-party financial advisors or hedge funds, including Advisory Investor Services, LLC. Interactive Brokers provides execution and clearing services to customers. 2

For more information regarding Interactive Brokers, please visit www.interactivebrokers.com

1 “These materials have been independently produced by Advisory Investor Services, LLC. Advisory Investor Services, LLC is independent of, and has no affiliation with, Charles Schwab & Co., Inc. or any of its affiliates (“Schwab”). Schwab is a registered broker-dealer and member SIPC. Schwab has not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Schwab independently verified any of the information in them. Advisory Investor Services, LLC provides you with investment advice, while Schwab maintains custody of your assets in a brokerage account and will effect transactions for your account on our instruction.” 2 None of the information contained herein constitutes a recommendation, offer, or solicitation of an offer by Interactive Brokers to buy, sell or hold any security, financial product or instrument or to engage in any specific investment strategy. Interactive Brokers makes no representation and assumes no liability to the accuracy or completeness of the information provided on this website.