Successful Wealth Management Through
Personalized Financial & Retirement Planning

CONNECT

Address:

55 Greens Farms Road
Westport, CT 06880

Phone:

203.221.0202

Fax/Other:

203.221.0234

SAFETY & SECURITY


Your Assets Are Secure and You Retain Control:

CFO is an independent financial and investment advisory firm that is registered with the U.S. Securities Exchange Commission [SEC], and the absolute confidence of our clients in the safety and security of their investment accounts managed by CFO is of paramount importance. Our clients always retain control of their accounts. CFO does not take custody of clients' assets. 

Through United Planners Financial Services, a broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC), all CFO client brokerage accounts are registered in the name of the client through an independent, third-party custodian: Pershing LLC or TD Ameritrade. CFO is an independent Registered Investment Advisor [RIA] that is not affiliated with United Planners Financial Services, Pershing LLC or TD Ameritrade.

Pershing LLC has over 75 years of Wall Street experience and currently has more than $1 Trillion in global client assets in custody. Pershing LLC, which is a registered broker-dealer, a member of the New York Stock Exchange, FINRA, SIPC and all other national security exchanges. Pershing is owned by The Bank of New York Mellon Corporation, which is one of the world's leading provider of securities services and a top global asset management firm. [Source: Pershing LLC Brochure: “Working Behind the Scenes”.]

Although a relative newcomer, TD Ameritrade Institutional's custodial services have grown rapidly over the last eleven years to now support over 4,500 independent registered investment advisors (RIAs) with over $700 Billion in total client assets under management. TD Ameritrade is also a member of the Securities Investor Protection Corporation (SIPC). Through SIPC, the investment securities in CFO client brokerage accounts are protected up to $500,000, with a cash limit of $250,000. [For more details, please also visit sipc.org.]. Additionally, TD Ameritrade provides each client $149.5 million worth of protection for securities and $2 million of protection for cash through supplemental coverage provided by London insurers. [Source: TD Ameritrade Institutional Brochure: “TD Ameritrade and you”.]

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Check the background of this financial professional on FINRA's BrokerCheck