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Investment Services



SagePoint is an independent broker-dealer that provides us with back office, technology, regulatory and operational support. Thanks to our association with the firm, we can offer you access to thousands of diverse financial strategies. SagePoint is not in the business of creating and marketing their own investment products – their only "products" are service and support. Therefore, we can offer objective, independent investment advice, with no obligation to promote any particular investment. After all, we don't work for SagePoint. We work for our clients.

SagePoint works with approximately 1,700 independence-minded financial advisors like us, with offices across the United States. As part of one of the largest networks of independent broker-dealers in the country – Advisor Group – SagePoint provides stability and financial strength that has been maintained through various market cycles.

Advisor Group, with a total of more than 4,900 license financial advisors, is a wholly-owned subsidiary of SunAmerica Financial Group.


PERSHING, LLC – CLEARING FIRM



Have you ever wondered what exactly happens to your funds once you've decided to make an investment? 

A financial professional's "clearing firm" may have a lot to do with the answer. Pershing, LLC (member FINRA, NYSE, and SIPC) – a trusted, established, and financially stable financial services firm – provides clearing services for our practice.

A clearing firm works with various financial exchanges to handle confirmation, delivery and settlement of your financial transactions.

Such firms employ technology and procedures designed to ensure that transactions are processed in a timely and efficient manner. Additionally, clearing firms prepare and send periodic account statements and transaction confirmations to investors. The SEC and FINRA, the regulatory bodies that oversee broker-dealers, also oversee clearing firms.

Pershing, LLC has been a leading global provider of financial business solutions for over 70 years and serves many of the world's most respected financial organizations. Your assets are not held at our firm, nor are they held at SagePoint. Pershing is a separate and independent entity, and a subsidiary of The Bank of New York Mellon Corporation, a leading provider of financial service for institutions, corporations and high-net-worth individuals.

Pershing is a member of SIPC (Securities Investor Protection Corporation) which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at www.sipc.org.
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 Securities and investment advisory services offered through SagePoint Financial, Inc., member FINRA/SIPC and a registered investment advisor. Sam Greco and Associates Financial Resources is not affiliated with SagePoint Financial, Inc. or registered as a broker-dealer or investment advisor.

This communication is strictly intended for individuals residing in the states where the registered representative is registered to conduct securities business. No offers may be made or accepted from any resident outside the specific state(s) referenced AK, AZ, CA, CO, CT, FL, GA, HI, IA, IL, IN, MA, MI, MN, MO MS, MT, NC, ND, NM, NV, NY, OH, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WV, WY. 

IMPORTANT CONSUMER INFORMATION
A Broker/dealer, investment adviser, BD agent, or IA rep may only transact business in a state if first registered, or is excluded or exempt from state broker/dealer, investment adviser, BD agent, or IA registration requirements as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion. For information concerning the licensing status or disciplinary history of a broker/dealer, investment, adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.

PLEASE NOTE: The information being provided is strictly as a courtesy. When you link to any of the web sites provided here, you are leaving this web site. We make no representation as to the completeness or accuracy of information provided at these web sites. Nor is the company liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, web sites, information and programs made available through this web site. When you access one of these web sites, you are leaving our web site and assume total responsibility and risk for your use of the web sites you are linking to.
 


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