FINRA’s BrokerCheck

Brokerage Services

Independence starts with the most comprehensive set of tools. Designed to help you meet the unique needs of your clients, we give you the keys to a wide range of industry-best investment products and services.

Superior Products

We offer our partners the broadest selection of investment products available in the industry.

Click to see the Account Registration Types we support

We support most account registration types, including:

Individual  •  Corporate  •  Trust  •  Joint  •  IRA  •  401K  •  529 College  •  Savings Plan

Need to support additional account types?

Contact us and let us know how we can help you serve your clients better.

Securities • Mutual Funds • Exchange Traded Funds (ETFs)

Access an agile set of asset classes, including domestic and international equity, fixed-income, new issue, and syndicate offerings.

Meet your clients’ investment objectives with access to 6,000+ funds. Our open architecture network encompasses nearly 600 companies, with over 18,000 share class alternatives — over 9,000 with no transaction fees. Take advantage of flexible pricing with Fidelity Advisor® Funds, a family of 100+ funds available to investors through investment professionals.

Enjoy preferred pricing on a broad selection from BlackRock® and Fidelity, along with access to over 1,900 exchange-traded funds.

Alternative Investments

Our strategic alliances mean you get more: leading products, investment research, and due diligence. Choose from more than 3,000 liquid and illiquid products in the Alternative Investments ProgrBlackRock® and Fidelity.

Annuities & Insurance

Excel at retirement options beyond a 401(k) or IRA with a tax-deferred variable annuity. For clients already in or nearing retirement, explore fixed income annuities to provide a steady stream of income throughout retirement.

Cash & Lending Solutions

Keep cash invested and working for your clients with our innovative sweep features. Additionally, a selection of Government and Treasury money market funds are available as core sweep vehicles

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Cash Management Tools

Your clients can take advantage of debit and credit cards, bill payment, check writing, electronic funds transfer, and remote check deposit. Key cash management and lending solutions are also available to your high-net-worth clients.

Lending

Provide your clients the opportunity to leverage their investment portfolios to obtain credit for personal, business or securities purchases. Our range of lending solutions includes margin, non-purpose loans, and collateral accounts with access to both bank—and brokerage—based lending products.

 

Superior Support Services

You can count on our professionals to provide superior service and support.

Broker Services

No one wants to prevent the awkward situation of returning to a client for additional signatures more than we do. Our team of tenured professionals is here to get it right the first time.

New Accounts

Let the LaSalle Street Home Office be your front line support. Our experts in ALL Registration types will ensure you have the required forms and documents to make us all look good.

Money & Asset Movement

Knowing their money is in transit can be a great source of anguish for our investors. Recognizing this as a stressor inspired us to master the money & asset movement process. We take great care in communicating the process to investors- sometimes going the extra mile to work with custodians to ensure an expedient transfer.

  • Periodic / Scheduled Contributions / Distributions
  • ACAT’s
  • Direct Transfers

Reorganization

Often overlooked, the actions required behind the scenes when companies merge, elect special dividend options, issue warrants, and a myriad of other activities, are also supported by our broker services team.

Trading

More than ever have independent advisors absorbed the bulk of trading activity. Which is why we offer world class trading support. Roadblocks in trade execution, resolving trade errors, execution of a large block order, and complex-option orders can be a great source of stress at the branch level. When you need back-up, our representatives are on call to make your trading activity continues seamlessly.

Our trade desk support covers all trading and execution, including equities, ETFs, Mutual Funds, and much, much more. We also have a superlative bond desk to support fixed-income trades.

Fixed Income

Our Fixed Income Team

The LaSalle St. Fixed Income Trading Desk is staffed by knowledgeable professionals, experienced in Fixed Income Trading, Underwriting, Sales, and Portfolio Management, Equity trading, B/D and RIA Compliance, and Brokerage Operations, with many of them coming to us after holding high titles at major financial institutions. Yes, our team has all the experience to meet your needs. But what gives our Fixed Income clients the LaSalle St. Securities advantage is that you will always be greeted with midwestern hospitality, receive honest opinions, and only the most thoughtful recommendations.

Products / Execution

Access to a wide variety of products is one corner of a full picture of success. Every product offering below is accompanied by a vast network of dealer and institutional customer relationships, allowing us to better match buyers and sellers while providing highly competitive prices, timely market information, and precisely timed execution of purchase, liquidation, or hedging activities.

  • Corporate Bonds
  • U.S. Government and Agency Securities
  • Certificates of Deposit
  • Municipal Bonds
  • Mortgage-backed Securities
  • Money Market instruments
  • Debt Securities denominated in foreign currencies

Ask about structured products with variable rate coupons as well. Products like treasury, CPI, or LIBOR linked variable rate coupon paying notes may protect the portfolio against rising rates or anticipated inflation.

Fixed Income Report

As a busy advisor, we want to ensure you can quickly gain an overview of market rates and spreads, economic data, and commentary when preparing for customer meetings. And because an engaged investor is an educated investor, we aim for the Fixed Income Report to be a useful tool in opening up a meaningful dialogue on market trends and portfolio positioning – not just between you and your clients, but between advisors and ourselves as well.

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Find out how we Pave the Way to Value

Paving the Way to Value

As market generalists and specialists, we have the ability to find the best hidden value. Hidden value is constantly evolving and moving, but our team’s expertise in all Fixed Income Classes and rates allows you to capture this elusive financial gem. There was a time when taxable municipal bonds were being overlooked by corporate credit buyers and ignored by tax-free municipal buyers. They were trading at a tremendous discount to similarly rated corporate credits, so we pushed as many buyers as possible to these credits. It’s examples such as these that illustrate our advantage in having a first-hand knowledge of the surrounding Chicago metropolitan taxing districts, as well as our track record of buying fantastic credits at very attractive discounts to national names.

Searching for value requires an open mind with rates remaining low. Under LaSalle’s investment council oversight, we aren’t afraid to expand our credit search criteria to recommend lower rated bonds (split rated or just below investment grade) for the right buyer. Generally, we advocate against yield chasing by way of sacrificing credit quality. We would rather, and have extensively recommended maturity extension with success during the past decade of historically low interest rates.

Through years of daily trading and bond buying, we have finely tuned our ability to analyze credits and uncover under-appreciated and overlooked story bonds that maintain sound financials. We have locked in some incredible value in off market taxable and tax-free municipal bonds, zero coupon municipal bonds, CD and agency step-up coupon bonds. With careful consideration we will direct our customer’s attention to these opportunities, while having an honest conversation about risks.

Capital Markets

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Compliance

We uphold all industry, state, FINRA, and SEC requirements with regular analysis and approval of communications between representatives and clients. Brach audits are conducted regularly to ensure LSS and its registered representatives are in compliance with the applicable policies and regulations.

Our dedicated team takes the guesswork out of compliance by maintaining the continuing education requirements and securities registrations for registered representatives and their administrative staff.

Accounting

Precise, predictable, and timely commission payment is our priority. We understand that advances against production while managing chargebacks can get tricky. That is why we pride ourselves on being flexible to support your cash flow when we can.

“LaSalle St securities make the experience and the costs so favorable to the rep that any analysis that any broker is going to do going into any firm, put LaSalle Street on your list.”

Todd Morgan
Joined 1997

Business Development

Put our multi-disciplined experience to work for you. With a deep understanding of every facet of business development, we work every day to advance the growth of our advisors.

  • Facilities & Equipment – Lease, Ownership
  • Local Recruiting – Key Staff Development
  • Brand marketing support
  • Succession Planning
  • Branch Development

We hold an annual Growth and Innovation Summit in May of each year for all of our reps and advisors. The day is packed with great peer relationship-building opportunities along with informative presentations. Reps and advisors can also take advantage of resources, practice management sessions, and multiple peer-to-peer roundtable discussions focused on new business, technology or succession planning issues.

Technology

Transform Your Practice

Technology is not just about creating efficiency and streamlining operations — it’s a critical tool in delivering a better client experience. The need to harness technology effectively grows even more important as new entrants provide automated investment management and enhanced online experiences to investors.

Wealthscape

The gateway to your total advisor platform

Fidelity Wealthscape℠ is a clearing and custody service to help you meet a wide range of needs, including transactional settlement, financial communications, service, and operations, as well as FDIC, cash credits, and core sweep services.

Our core platform includes account opening, trading solutions, cashiering, reports and alerts, market data and research, modeling and rebalancing, and risk management and compliance tools. Investor portals enable you to give your clients online account and document access, trading capabilities, and more.

Mobile capabilities provide you access anywhere, anytime. You can also take advantage of our Remote Check Deposit functionality.

Performance Reporting

Performance Measurement is an analytics platform using client and account information as of the previous business day’s close to generate performance results. Results can also include benchmarks that enable you to compare the rate of return of your clients and accounts to the rate of return of selected industry and blended benchmarks within a preselected or custom time period.

Account & Portfolio Performance
Account & Portfolio Performance
  1. Rates of return: Time-weighted and money-weighted
  2. View daily returns or custom time frames
  3. Asset allocation by account
Benchmarking & Risk Indicators
Benchmarking & Risk Indicators
  1. Choose up to five benchmarks
  2. Risk indicators
  1. Standard Deviation
  2. Beta
  3. Alpha
  4. Sharpe Ratio
Convenience & Transparency
Convenience & Transparency
  1. Performance scheduling at specified frequencies
  2. Date quality indicator
  3. View performance in eMoney
  4. Multiple device support
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Paperless Account Opening

Put our multi-disciplined experience to work for you. With a deep understanding of every facet of business development, we work every day to advance the growth of our advisors.

Consolidated Data

Data for Your Entire Business, within a Single Location

Fidelity data, assets under administration, client-permissioned data, market data, customer relationship management (CRM) data, and firm-provided data can all be aggregated on a regular basis. Data will be normalized and streamlined across sources. Then, if necessary, an analyst will remediate data issues to help better achieve accuracy and completeness. This means you can make the most informed decisions with your clients by looking at one, consolidated picture.

CRM Integrations

Redtail Technology is a leading provider of web-based CRM*, paperless office, and email archiving solutions in the financial services industry. Easily affordable, easy to implement, and offering integration with many of the industry’s most widely used applications, Redtail is committed to providing financial advisors with the core technologies that drive their day-to-day operations.

 Fidelity Integration Features:

  • Single sign-on from Wealthscape to Redtail
  • Ability to prefill account opening information from Redtail
  • Fidelity brokerage account information provided to Redtail

*Other CRM integrations are available.

eMoney

Financial Planning | Client Portal | Account Aggregation

Strengthen end-investor engagement with integrations from Fidelity & eMoney. By leveraging Wealthscape and eMoney’s tools you can move swiftly from identifying clients’ financial goals, to putting a plan in place, to an effortless execution by connecting directly to their Fidelity brokerage accounts.

Fidelity & eMoney Integration at a Glance

slide 1
  1. Single Sign-On allows advisors and investors to move seamlessly between eMoney products and Fidelity’s platform.
  2. Streamlined Client Import — Select the clients you would like to import from Fidelity’s platform into eMoney without any manual data entry.
  3. View performance on Fidelity accounts from within the eMoney Client overview page and enable investors to view performance.** (requires separate purchase of Performance Measurement offered by eMoney Wealth Services)
slide 2
  1. Household View feature allows investors to see all their accounts in one place. They can also manage account profiles and enroll in Electronic Delivery within the eMoney client site.
  2. Enhanced Investor Self-Registration — Send clients a branded email and registration link with a single click.
  3. Quickly move from planning to action by doing TOA’s, moving money, doing account maintenance and initiating service center requests, all from within an account in eMoney.
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  1. Initiate and delegate brokerage tasks such as TOA, moving money, and account maintenance through a shared task list and complete those tasks from within eMoney.
  2. Use pre-filled data from eMoney when opening accounts at Fidelity to avoid redundancy.
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Base Platform Features

Everything you need to stay informed and engaged is at your fingertips with eMoney.

Click to Learn More

GROW your business with a streamlined lead capturing path and the ability to aggregate clients’ held away assets.

MAINTAIN relationships with your growing client base. Automatic email notifications keep clients informed, while screen sharing capabilities make it easier than ever to cultivate collaborative client-advisor relationships.

EVOLVE workflows with tools like task assignment and app/software integration. From the dashboard, quickly access your financial feed. Allowing you to stay on top of client activity and take action sooner.

DRIVE business anywhere, anytime with a fully functioning mobile experience. Upload and access important documents in the vault, while tracking your client’s assets under management (AUM).

Be the Center of Your Client’s Financial World

eMoney’s Client Portal gives advisors the tools they need to collaborate with clients while empowering their clients to take an active role in the planning process.

Client Portal Features

Click to see the List

ORGANIZER
Clients connect all their accounts for a consolidated view of their entire financial picture.

TRACK SPENDING
Help clients monitor their cash flow and gain insight into their spending habits so they stay on the right financial path.

SCREEN SHARE
Advisors can meet virtually with their clients wherever web access is available.

MOBILE
Provide clients with 24/7 access to their complete financial picture.

GOALS
Tools to show clients if they are on target to reach their most important goals.

INVESTMENTS
Interactive charts and detailed summaries increase each clients’ knowledge of their financial accounts.

BUDGETING TOOLS
Clients can set budgets to reach savings goals through their portal.

VAULT
Allow clients to safely store all their important files, and access them directly through eMoney.

EASY ONBOARDING
A dynamic, automated fact finding process that enables clients to quickly and easily launch their personal portal.

Platform Overview with Free Trial Offer

Click to check out the video and eMoney Free Trial Offer

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