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40 Mechanic St., Suite 309, Marlborough, MA 01752
(800) 533-8567

Transition to LPL Financial

It’s my pleasure to share with you some exciting news!

Starting on February 1st, I will be replacing First Allied Securities, Inc. (the Broker Dealer firm that provides regulatory compliance and support to Nexus Financial Group) with LPL Financial (LPL).

Much of what a broker dealer does on a daily basis happens behind the scenes, so from that standpoint you may not notice anything new, but I’m excited about this affiliation, and I’m confident that you’ll be pleased with the range of services I’ll be able to offer to you as a result.

The most important thing to note is that I am now, and will continue to be going forward, your financial advisor, just as I always have been. Absolutely nothing will change there. This new affiliation with LPL will simply allow me to delegate much of the paperwork and regulatory duties to them and to my new extended partners, rather than having to handle all of that on my own. I want my focus to remain solely on meeting with each you personally, with the goal of providing you with the best financial advice to help you meet your retirement objectives.

It’s similar to this: a doctor works best when seeing his or her patients all day, and dispensing medical advice to each individual based on their needs. Getting bogged down in medical and insurance paperwork is an onerous task that’s best done by a team of professionals who specialize in those areas. In that regard, I’ve decided to allow a team of professionals to take care of the back-office work for me as well.

So here’s what’s next:

  • Starting today, I’ll be updating my account agreements with you so that I can continue to provide you with ongoing advice and management of your accounts, just as I do now.’
  • This is very important, and I’ve made the process simple for you. You’ll receive several emails from DocuSign for your electronic signature. The important part is you need to sign those as soon as possible, because I can’t manage your accounts at LPL until I have your signature on those documents.

I appreciate the fact that any time accounts are transferred, you may want to track them. Of course, I will be tracking them for you, but you’ll be able to do so as well with online access to your LPL accounts via their website and app called MyAccountView. It’s similar to the way you may have done it through First Allied. Your advisory team will help you establish your online access.

This is just my initial announcement to you, and I’ll provide you with further details as they become available. Please note that my contact information, address, and phone number will all stay the same. No changes there.

Also, download FINRA’s educational communication regarding factors to consider in determining whether to transfer your assets.

Again, you can expect further correspondence from me with some important details in the coming days and weeks. As always, thank you for the trust you put in me!