We respect those industry dynamics, and The Strategic Financial Alliance is committed to the highest levels of regulatory compliance. As we do a good job of compliance, we’re doing a good job for you.

Our trades are executed through Pershing LLC, the leader in clearing services. Pershing has been in business since 1939 and handles about 10% of the total volume of trades on the NYSE and FINRAAQ. And they provide mutual fund execution and clearance services for 12,000 funds.

Pershing and the Securities Investor Protection Corporation (SIPC) provide account protection for the net equity of your accounts with Pershing.*

And while SFA places a strong emphasis on compliance, protection and security, we also work hard to make this process clear, streamlined, and user-friendly for your advisor.

* Pershing provides account protection for the net equity of your securities positions and cash in your Pershing account. Of that total, the Securities Investor Protection Corporation (SIPC) provides $500,000 of net equity protection, including $100,000 for claims for cash (SIPC Protection). Pershing provides the additional protection (Excess SIPC) for account net equity in excess of $500,000 through a commercial insurer. The account protection applies when a SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.