advisors putting their hands together in teamwork

Our Teams

A Shared Vision

Together, we confirm that both parties define success in the same way, share similar values, and will hold each other accountable… because when both parties have a stake in the game, when they have mutual goals and strive for common outcomes, then a real partnership can come about. Successful business execution depends on it.

In fact, our teams live by a credo that is foundational to all areas of our operation, “Serving and guiding our client firms with accountability and awareness.”


Risk and Quality

  • Compliance Services provides a consultative approach on regulatory compliance and sales supervision, support for Anti Money Laundering compliance, and service around escalated issues such as fraud attempts, operational risk, and credit policy matters.
  • Strategic Solutions is charged with ensuring the seamless deployment of technology enhancements and providing strategic cybercrime consultation to your firm.
  • Business Integration Services provides trading and street-side support and vital data services to help run your business.


Client Growth

  • Growth & Productivity teams help firms and their advisors explore and integrate proven best practices designed to foster client loyalty and business growth.
  • Support & Delivery provides resources that optimize your strategies for driving growth and staying engaged with clients.
  • Business Strategy works closely with each firm to understand its culture and priorities. This collaborative approach allows us to make adjustments that best fit your business needs.
  • Business Initiatives & Consulting Services provides business consulting and guidance for client firm projects and manages efforts related to product offerings and support for firm proprietary advisory business.


Business Development and Client Satisfaction & Loyalty

  • Business Development serves as an advocate to represent your best interests within First Clearing and as a resource for market advisory and competitor insight.
  • Transition Services provides seamless onboarding of new client firms, assists with new business processes and technology implementation and supports business expansion via new advisor and branch office integration.
  • Correspondent Services keeps you informed of operational developments, is available to help resolve complex questions, and serves to connect you to resources and training.
  • Recruiting can assist with sourcing qualified advisor candidates, recruiting best practices, advisor onboarding, and training programs for new hires.



A team of financial professionals to assist with billing, operations, and finance questions and act as liaisons across the enterprise to help ensure optimal billing and accounting delivery.

Block Quotes

With the principle 'better together' guiding us, we align with our firms, their leaders and their advisors, empowering each to compete and succeed.

Bill Coppel, Chief Client Growth Officer

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