To ensure the safety and security of client assets, we leverage the reliability of a third-party custodian. As the broker-dealer, Schwab Advisor Services is under the regulatory oversight of FINRA, the SEC, and OTC for banking supervision.

We have partnered with Laurel Wealth Advisors, a Registered Investment Adviser, for their support in technology, compliance, and back-office services; we offer our advisory services through their platform.