What is a broker/dealer?
A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose one, and only one, broker/dealer to partner with on your behalf.
Why Commonwealth Financial Network®?
The fact that we’ve chosen to work with Commonwealth Financial Network® (Commonwealth), an independent broker/dealer, means that our firm remains independent, too. We are free to act in your best interest, without pressure to promote a particular product or strategy. It’s a model that differs from that of some other, larger financial firms known as wirehouses, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.
Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they’re needed and to act in the best interests of its financial advisors and their clients—not shareholders.
How Commonwealth helps me help you
Commonwealth goes far beyond what’s required of a broker/dealer; the entire organization is built around helping advisors do whatever it takes to serve their clients. It’s that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for my firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.
If you’d like to know more
We’d be glad to talk with you further or answer any questions you may have about our affiliation with Commonwealth. Please feel free to give us a call.
Certified Financial Planner™
Alex Koury is a CERTIFIED FINANCIAL PLANNER™ Professional and Wealth Advisor for Values Quest, Inc., in Phoenix, Arizona. In addition to being a CFP®, he holds the following securities registrations: Series 7, 9 & 10 – General Securities and Series 66 – through Commonwealth Financial Network®. Alex is also licensed through the state of Arizona, California, and Georgia for life, accident/health, disability, fixed and variable annuities and property and casualty insurance.
As Wealth Advisor for Values Quest, Inc., Alex provides wealth management services for small businesses nationally. He is also an Investment Advisor Representative with Commonwealth Financial Network®, the nation’s largest privately held independent broker/dealer–RIA with $1 billion in annual revenues*, Commonwealth has the scale, stability, and resources to help us deliver the solutions our clients need. With a staff of approximately 810, Commonwealth helps approximately 1,710 independent advisors serve their clients and manage total account assets of approximately $114.4 billion.**
Values Quest, Inc., is an independent wealth management firm dedicated to helping their clients build and preserve their wealth and hard-earned assets. The firm’s independence enables Alex to establish working relationships with other industry leading financial professionals, estate attorneys, CPAs, and insurance providers. Alex leverages their expertise to create customized portfolios, and he only recommends those products and services that are specifically tailored to suit his clients’ unique needs and values. In addition, he prides himself on building lifelong relationships with his clients, which he considers family.
After graduating from Regis University in Denver, Colorado with a Bachelor of Science in Finance and a Bachelor of Science in Economics, Alex returned to his home state of Arizona. Alex is the Pro Bono/Public Awareness Chairperson for the Financial Planning Association of Greater Phoenix and provides financial planning education to other nonprofit organizations and private companies in the valley. In addition to his professional achievements, Alex enjoys sports, the outdoors and spending time with his wife, Amzi, and their 1-year-old daughter, Naila. A frequent hiker you may find Alex on Camelback or Piestewa Peak Mountain any given morning.
*As of 01/19/17
**As of 12/31/16
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The decisions you make today have a profound effect on your future financial health. Do you have a financial plan? If so, are you sure your financial plan is right for you? Did your financial advisor(s) tailor recommendations to your needs, or to fit the small collection of products they represent?
We are a full service financial consulting firm that goes beyond what’s expected. We are here to help business owners with all levels of wealth manage their financial freedom through a wealth planning model that has the independence to access a plethora of quality products deployed through a selective network of integrated investment and wealth management professionals, all backed by Commonwealth Financial Network®.
Our goal is to be a financial resource to you personally, your business and your employees because we believe your business is our business.
Copyright 2015. All rights reserved.
This communication is strictly intended for individuals residing in the states of
No offers may be made or accepted from any resident outside these states due to various state regulations and registration
requirements regarding investment products and services.
Fixed insurance products and services offered through CES Insurance Agency.
Securities and advisory services offered through Commonwealth Financial Network®., Member FINRA, SIPC, a Registered Investment Adviser.
To help the government fight the funding of terrorism and money-laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account with LPL Financial, we ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. We may share information obtained from you with third parties to verify your identity, in compliance with this federal law.
Certified Financial Planner Board of Standards, Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP in the U.S., which it awards to individuals who successfully complete CFP Boards initial and ongoing certification requirements.