Our Relationships
Any financial advisor that conducts securities business must be affiliated with a Broker Dealer (BD). Our BD is Osaic Wealth, Inc. One of the Broker Dealer’s main tasks is to oversee their affiliate’s activities, and this is accomplished by having financial advisors report to supervisors. The Office of Supervisory Jurisdiction (OSJ) that Von Baron Wealth Management Advisors reports to is Artisan Capital Partners. This OSJ group acts as FINRA principals responsible for supervising financial advisors of Von Baron Wealth Management Advisors. Artisan Capital Partners also provides business and back-office support to Von Baron Wealth Management Advisors.
Osaic Wealth inc. is a nationally recognized broker dealer. They have a client centered philosophy that encourages long-term relationships. They provide regulatory compliance oversight, guidance, training and access to a full array of the most innovative investment products and money managers in the industry. Osaic Wealth is a member of the Securities Investor Protection Corp (SIPC) and the Financial Industry Regulatory Agency. (FINRA.)
Baron Tax Services, we specialize in providing expert tax preparation services to individuals and businesses. Our team of experienced professionals is dedicated to maximizing your tax refunds while ensuring compliance with all tax regulations.
The mission of the Certified Financial Planner™ Board of Standards is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning
The CFP Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirements for CFP® certification.
Pershing is well established in the financial services industry and one of the largest New York Stock Exchange Securities Clearing Firm. They are a part of the Bank of New York, which is the bank for the U.S. Treasury. Pershing provides us with access to securities listed on all major exchanges, including the New York Stock Exchange, the American Stock Exchange, most regional exchanges and the over-the-counter market. Pershing executes and clears all exchange and over the counter securities transactions as agent for, and on the instruction of Royal Alliance Associates, Inc. Pershing is the custodian for assets held in brokerage accounts through Osaic Wealth Inc..
The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for securities firms doing business in the United States. FINRA touches every aspect of the securities business from registering and educating industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws. FINRA also administers the largest dispute resolution forum for investors and registered firms.
Securities Investor Protection Corporation
If your brokerage firm goes out of business and is a member of the Securities Investor Protection Corporation (SIPC), then your cash and securities held by the brokerage firm may be protected up to $500,000, including a $250,000 limit for cash. When a SIPC member becomes insolvent, SIPC will ask a court to appoint a trustee to supervise the firm’s liquidation and to process investors’ claims. SIPC covers most types of securities, such as stocks, bonds, and mutual funds. But SIPC does not protect you against losses caused by a decline in the market value of your securities. And it does not provide protection for investment contracts not registered with the SEC.