Support for the Independent Financial Advisor

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  • Advisor Advantages

  • Changing
    Custodians?

    Move your clients to a better value.

    • Account Migration Made Easy
      Our dedicated transition team makes changing custodians less cumbersome and time consuming. Whether you’re moving your accounts from a previous custodian or starting your first business, we’ll help you move your book of business with the transfers, paperwork and filing you need to ensure a smooth transition.

    • Account Transfer Reimbursement
      You will be reimbursed for transfer fees charged by another broker.

    • Diversify Your Custodians
      Scottrade is an excellent choice for advisors looking to diversify their custodial relationships.

    • Relationship Teams
      Our relationship teams offer personal service.

    • No-Compete Branch Network
      Scottrade's 500+ branch offices are here to support you – and not compete with you.

    Changing Custodians

  • Going
    Independent?

    Let Scottrade be your back office. The savings could be significant for you and your clients.

    • Affordable Coverage
      We offer RIAs the services and support they need for their growing business, including access to affordable errors and omissions insurance offered through CalSurance Associates and a basic compliance hotline, provided to our affiliated RIAs at no charge by Lexington Compliance.

    • Dedicated Service
      Scottrade is focused on helping you reach your business goals and serve your clients.

    • Pricing Structure Advantages
      The low-cost, high value solution, Scottrade offers a variety of strategic resources, tools and excellent customer service.

    • Learn the Steps to Go Independent
      With Scottrade behind you, you'll have the tools and resources you need to help you reach your goals.

    • No-Compete Branch Network
      Scottrade's 500+ branch offices are here to support you – and not compete with you.

    Going Independent

  • New to the RIA Business?

    Scottrade has everything to get your independent practice up and running.

    • Service for Start-Ups
      No minimum assets let you enjoy the freedoms of partnership while you get started. Advisors can also enjoy benefits like no account maintenance fees, free online confirmations and statements and check writing.

    • Personalized Support
      Scottrade provides you with a dedicated relationship team that gets to know you and your business. Our Advisors receive exclusive discounts throughout our resource network.

    • Steps to Becoming an RIA
      When you're looking for the experience and resources to help you every step of the way toward running your own business, Scottrade has it all.

    New to the RIA Business










Scottrade is not affiliated with MoneyGuidePro, Lexington Compliance or CalSurance Associates. Scottrade is not responsible for statements, offers, or products issued by MoneyGuidePro, Lexington Compliance and CalSurance Associates. Please research any product or service carefully before making a purchase.

Scottrade® Advisor Services is a division of Scottrade, Inc. All products and services offered by Scottrade, Inc. – Member FINRA /SIPC.

Any specific securities, or types of securities, used as examples are for demonstration purposes only. No information on this web site should be considered a recommendation or solicitation to invest in, or liquidate, a particular security or type of security.

Investors should consider the investment objectives, risks, charges, and expenses of mutual fund carefully before investing. A prospectus contains this and other information about the fund and is available through www.scottrade.com or through a Scottrade branch office. The prospectus should be read carefully before investing. No transaction fee (NTF) funds and Load Waived funds are subject to the terms and conditions of the program. Scottrade is compensated by the funds participating in these programs through recordkeeping, shareholder, or SEC 12b-1 fees.

Investors should consider the investment objectives, charges, expense, and unique risk profile of an Exchange Traded Fund (ETF) carefully before investing. Leveraged and Inverse ETFs may not be suitable for all investors and may increase exposure to volatility through the use of leverage, short sales of securities, derivatives and other complex investment strategies. These funds' performance will likely be significantly different than their benchmark over periods of more than one day, and their performance over time may in fact trend opposite of their benchmark. Investors should monitor these holdings, consistent with their strategies, as frequently as daily. A prospectus contains this and other information about the ETF and should be obtained from the issuer. The prospectus should be read carefully before investing.

MoneyGuidePro™ was ranked #1 financial planning software in the Financial Planning Magazine 2011 Technology Survey.

Scottrade and MoneyGuidePro are not affiliated. Scottrade is not responsible for statements, offers, or products issued by MoneyGuidePro. Please research any product or service carefully before making a purchase.

1Voted #1 CRM and #1 Technology Product in the 2012 InvestmentNews 2012 Adviser Technology Study

2Redtail CRM was voted #1 CRM and #1 Technology Product in the 2012 InvestmentNews 2012 Adviser Technology Study and MoneyGuidePro™ was voted #1 financial planning software in the Financial Planning Technology Survey 2011

Margin trading involves interest charges and risks, including the potential to lose more than deposited or the need to deposit additional collateral in a falling market. The Margin Disclosure Statement and Agreement (PDF) is available for download, or it is available at one of our branch offices. It contains information on our lending policies, interest charges, and the risks associated with margin accounts.

Options involve risk and are not suitable for all investors. Detailed information on our policies and the risks associated with options can be found in the Scottrade Options Application and Agreement, Brokerage Account Agreement, and by downloading the Characteristics and Risks of Standardized Options and Supplements (PDF) from The Options Clearing Corporation, or by requesting a copy from your local branch offices. Market volatility, volume, and system availability may impact account access and trade execution. Supporting documentation for any claims will be supplied upon request.

Online market and limit stock trades are just $7 for stocks priced $1 and above.

Select investments are commission free to those using Scottrade’s online platforms. Other fees and charges may apply.

Market volatility, volume, and system availability may impact account access and trade execution.

Scottrade® Advisor Services will reimburse transfer fees up to $100 charged by another broker when your clients transfer an account or household of accounts with a total value of $50,000 or more to Scottrade. Household is defined by mailing address. The transfer reimbursement does not currently have a termination date. However, Scottrade Advisor Services reserves the right to terminate this offer at any time without prior notice or extend the offer at its sole discretion. Void where prohibited.

Testimonials may not be representative of the experience of other clients and are no guarantee of future performance or success.

Scottrade, the Scottrade logo and Scottrade® Advisor Services are the registered trademarks of Scottrade, Inc. and its affiliates.

© 2013 Scottrade, Inc. All rights reserved.