We work together with our clients to achieve successfulness in their long term goals. It’s all about the relationships we build. Knowing your entire financial picture is just part of the process. We are much more than that.
George RegisterWealth Management
Our investment process revolves around you, and we believe that the best results come from having a close/ongoing relationship with our clients. Our financial advisors will work with you to design the most appropriate plan to serve your goals. Our approach consists of the following three steps.
1
Get to know you – understand your needs, expectations and visions/objectives
2
Create a Plan – structure a customized plan to meet your specific goals and objectives
3
Help you stay on course
1. Custodian of Client Assets – Clearing Relationship
The majority of Register Financial client assets are in the custody of *First Clearing, one of the world’s largest financial services firm.
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When you open an account with us, First Clearing* maintains custodianship of your investment assets. First Clearing provides our broker-dealers with efficient execution services for trading stocks, bonds and other securities. In addition, First Clearing documents and clears transactions, collects and pays dividends and interest, processes corporate reorganizations, delivers trade confirmations and statements, custodies assets, and provides annual tax-reporting summaries.
*First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non- bank affiliate of Wells Fargo & Company.
2. Digital Client Experience – Access Online
Access Online gives you access to view your investment accounts whenever and wherever you like with a seamless experience across devices. This free and secure online service provides you with up-to-date, detailed account information, the latest news and research reports and much more. Access is 24 hours a day, 7 days a week.
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- The Brokerage Overview allows you to access all of your account information on one consolidated page.
- View your Envision® plan2 detail as well as create your own “what if” scenarios by adding or editing goals on a copy of your current Envision plan.
- Download your account information to Quicken® or Microsoft® Excel. Enjoy the convenience of electronic delivery of statements, trade confirmations, and/or shareholder communications. You can change and customize your document delivery preferences at any time.
- Securely access new account documents as soon as they are created as well as previously issued documents for the last seven years.
- Set up Market Alerts to be sent to any device with an e-mail address (i.e. desktop, smartphone or tablet). You can receive alerts for individual securities, entire portfolios, or specific industries.
- Please note that access to online services may be limited, delayed or unavailable during periods of peak demand, market volatility, system upgrades or maintenance, or electronic, Communication or system problems, or for other reasons.
- Enrollment is quick and easy.
Self –Enrollment
Access Online & Electronic Delivery OR Client-Assisted Enrollment Call 1-877-488-3748 (available 24 hrs a day / 7 days a week)
You can access the service using the Login icon in header of this page, or by clicking here
*First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non- bank affiliate of Wells Fargo & Company.
3. Account Protection
Coverage for cash and securities in protected client accounts is provided from two sources. The Securities Investor Protection Corporation (SIPC) protects up to $500,000, of which $250,000 may be cash. This coverage does not protect against losses from any change in the market values of investments.
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The Securities Investor Protection Corporation (SIPC) was created in 1970 as a non-profit, non- government membership corporation, funded by member broker-dealers. SIPC provides limited coverage to investors on their brokerage accounts if their brokerage firm becomes insolvent.
All brokerage firms that sell stocks or bonds to the investing public, or that clear such transactions, i.e. introducing or clearing firms respectively, are required to be members of SIPC.
Securities and cash in client accounts held at First Clearing have two sources of protection in the event of First Clearing’s insolvency. SIPC coverage insures each client up to a maximum of $500,000 (including up to $250,000 for claims for cash). In addition, First Clearing maintains a program of additional protection provided through London Underwriters, led by Lloyd’s of London Syndicates, (“Lloyd’s”). For clients who have received the full SIPC payout limit, First Clearing’s policy with Lloyd’s provides additional coverage above the SIPC limits for any missing securities and cash in client brokerage accounts up to a clearing-firm aggregate limit of $1 billion (including up to $1.9 million for cash per client).
SIPC and the additional protection from Lloyd’s do not protect against losses from the failure of a security, nor do they insure the quality of investments or protect against losses from fluctuating market value. All coverage is subject to the specific policy terms and conditions. *First Clearing’s SIPC and additional coverage do not apply in the event of Register Financials insolvency.
Lloyds of London Syndicate, Lloyd’s is the world’s specialist insurance market. The business written at Lloyd’s is brought to specialist syndicates, who price and underwrite risk, via brokers and cover holders. Currently, A.M. Best has given Lloyd’s a financial strength rating of “A (Excellent) Stable Outlook.”
*First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.
- For more information about SIPC, please visit sipc.org.
- For more information about Lloyd’s, please visit lloyds.com.
4. Business Continuity
During a significant business disruption, our clients should check our website at www.RegisterFinancial.com for our latest information. We continually update our extensive BCP and you may request further information.
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Use our BCP not the one below
As a client of Register Financial, we recognize you may need access to your account to sell a position or request a check before we re-establish telephone service. During this time, First Clearing, our clearing firm, will assist you with sell/liquidation orders and provide check disbursements if needed.
If our firm has declared an emergency and you cannot contact us, please call First Clearing for assistance at 877-496-3223.
*First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.
Disclosures
*First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non- bank affiliate of Wells Fargo & Company.
- Access to online services may be limited, delayed or unavailable during periods of peak demand, market volatility, system upgrades or maintenance, or electronic, communication or system problems, or for other reasons. During times of high volume of trading at the market opening, or intra-day, clients may experience delays in system access, or execution at prices significantly away from the market price quoted or displayed at the time the order was entered.
- Available to clients with an Envision Plan of Record
George Register