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Our RIA–Broker/Dealer and Registered Investment Advisers
A RIA–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 delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf. As fee-based financial planners, we also are registered investment advisers through Commonwealth Financial Network®.