Each holds a golden ticket in a collective experience free from spatial barriers.

The most valuable assets in financial services are not stocks, futures, derivatives or commodities. They’re people who always put their clients first and have the freedom to make investment recommendations outside a branded suite of products or incentives. A symbiotic connection between American Portfolios, advisors and their clients makes this freedom possible.  

Shared Equity / Shared Risk

With trust comes loyalty ...with risk comes reward. We reach for invisible networks suspended around us, entrusting personal mementos to a cloud we can't see.

Shared Equity/Shared Risk

 
  • + Shared Equity
    - Shared Equity

    You can work for the company who owns you.  Or, you can own the company you work for. In the event of an acquisition of the firm, a merger, or the establishment of American Portfolios as a duly organized publicly traded entity, it is the intention of management, through the "Capital Units Program," to share equity with its partners, managers and sales associates.

  • + Shared Risk
    - Shared Risk

    At American Portfolios the goal of risk management is very simple: protect our clients, protect the careers of our advisors and principals and protect the firm to ensure its continued viability as an independent broker/dealer.

    How do we do this? It begins with some very basic rules:

    • Get to know a prospective advisor

    • Vet products that are mutually expedient for both advisors and the firm

    • Keep current with changing regulations

    • Assess current business activities through compliance approval, ongoing surveillance and regularly held risk committee meetings

    • Whenever possible, represent members of the firm during an arbitration, mediation or regulatory proceeding

    • Insure the best protections are in place against reputational risk

    Truth be told, that at the foundation of any strong risk management structure are the trusted relationships forged between client and advisor, advisor and broker/dealer. When you have that, the risk to all is minimized.

Testimonials

 
 
 
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