Broker-Dealer Services
Worth Financial Group is known as a “fully disclosed” originating broker-dealer, which means we are not a member of any stock exchange. This designation means that we do not hold clients’ funds and do not clear clients’ trades on the securities market directly. Instead, we forward trades to one of our custodial firms.
Our primary clearing agreement is currently maintained with National Financial Services (NFS) for retail brokerage and advisory accounts. Certain advisory accounts are held at TD Ameritrade
Registered Investment Advisor
Our Firm is registered as a state-regulated Registered Investment Adviser (RIA). This allows us to manage client portfolios on a fee basis on the amount of assets under management. Our company is registered as an investment adviser in Texas and Florida.
Insurance Agency
We are registered in Texas as a resident corporate insurance agency and in other states as a nonresident insurance agency. This title allows us to provide insurance products to our financial advisors, most of which hold both securities and insurance licenses. We primarily market life, health disability, and annuity products to individuals and small businesses through their network of independent agents.
Working With Major Insurance Providers
Our group has selling agreements with several major life insurance providers to provide their agents with a wide range of insurance and annuity products. These companies include:
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Hartford
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AIG
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American General
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Jackson National
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Lincoln Financial
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Pacific Life
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Prudential
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Transamerica
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Voya Financial