Broker Dealers

Broker Dealers

We build relationships with quality firms, their leaders and their advisors, empowering each to compete and succeed.

Advisor Stories

Forum Series

Hear from Steve Collins on the Connexion Forum Series

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Better Together

With a heritage dating to the early 1900s, First Clearing has deep roots in the retail brokerage business. We understand it. We think and perform like a retail brokerage firm. We know what it is to serve financial advisors serving clients. Our experience and the insights we’ve gleaned have garnered us a reputation for questioning, envisioning what lies ahead and innovating for the 21st century.

It all centers on helping the advisor do what’s right for the client. In fact, we believe the primary role of First Clearing is to provide firms with the support and thought leadership that ultimately fosters trust between advisor and client. This trust forms the foundation for sustainable relationships. When the client succeeds, so does the advisor and the firm.

Shared Vision

Each client firm relationship is one of a kind, founded on common interests. Even before forging an alliance, we take time to get to know the firm and its people.

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.

Block Quotes

Our fully integrated advisor workstation is designed to help client firms and advisors deepen client relationships.

Rich Elias, Director of Business Initiatives

Multi-Business Model Support

We serve quality broker-dealers ranging in size from national companies to regional and local firms. Our client firms encompass a variety of business models including:

  • Full service broker-dealers inclusive of institutional and capital markets businesses
  • Independent-contractor broker-dealers
  • Bank-affiliated brokers
  • Broker-dealers serving RIAs (Registered Investment Advisors)