Working With An Advisor

Providing a proper investment environment is a priority for The Investment Center, Inc.

A Few Important Rules to Follow

  • The Investment Center advisors are required to place securities investments through Pershing LLC or directly with a mutual fund, insurance company, or product provider.  Do not make checks payable directly to a financial advisor, the financial advisor's business name, or any business controlled by the financial advisor.
  • When dealing with a representative of The Investment Center, Inc., accept account payments from Pershing LLC or the product provider only. Payment from any other business names or the representative is not appropriate.
  • You should never borrow from or lend money to a representative of The Investment Center, Inc.
  • Always sign your own documents and never ask someone else to sign for you unless they can legally act for you, e.g. via power of attorney.
  • Review your statements when you receive them. If you receive a summary statement from your financial advisor, compare the statement numbers to your statements from each product provider or an official Pershing LLC account statement.


Choosing a Financial Professional

When it comes to finding a financial professional that is right for you, it’s important that you understand the key features of the relationship so you can make the best decision. SEC Chairman Jay Clayton explains the key differences between broker-dealers and investment advisers. He discusses the types of services each type of firm offers, how they are paid, and other things to consider in deciding whether to work with a financial professional. Click here to learn more.