Mutual Funds

Access to a wide array of funds either through our clearing firm Southwest Securities, or directly through the fund family with new agreements being added on a regular basis.  Via our clearing firm, clients and advisors have access to over 9,000 mutual funds covering 375 fund families.

Stocks and Bonds

Our clearing firm offers a robust trading platform for individual equities and access to a broad inventory of fixed income securities.  Clients benefit from trading desks in Dallas, New York, Chicago, Newport Beach and Ft. Lauderdale, providing access to a national inventory of bonds and low-cost equity trading services.

Fee Based and Advisory

First American Securities, teams with third party Investment Advisors to provide clients with hundreds of professional institutional money managers covering many different asset classes, strategies and disciplines.


Numerous agreements with highly rated insurance carriers provide clients and financial advisors with access to fixed and variable annuities.


As a licensed insurance agent, First American Securities provides clients access to insurance solutions that range from simple term life to more complex situations involving succession planning and wealth transfer.


Special Products 

Our clearing firm maintains inventory in, and provides a market for UITs, CDs, Preferred Stocks and Equity Linked Securities.  Additionally we offer alternative investments in the form of publicly and non-publicly traded Real Estate Investment Trusts (REITs).

Brokerage Accounts

Clients have options including interest-bearing accounts and accounts with check writing capability.  Clients also have access to an FDIC sweep option as well covering cash balances up to $2.5 million.

Retirement Accounts

Access to retirement accounts directly through our clearing firm or our various product partners, including IRAs, ROTH IRAs, SEP IRA and SIMPLE IRA accounts, 401(k),

Solo 401(k) or 403(b).

Financial Planning

Customized financial plans to help you map out and achieve your goals, taking into account your time horizon, risk tolerance and individual financial circumstances.

Investment Products & Services