Our Financial Relationships
Any financial advisor involved in securities business must be affiliated with a broker dealer (BD). Our broker dealer is Osaic Wealth, Inc. One of the primary responsibilities of this BD is to supervise their affiliates' activities by having financial advisors report to designated supervisors. Von Baron Wealth Management Advisors reports to the Office of Supervisory Jurisdiction (OSJ) known as Artisan Capital Partners. This OSJ group serves as FINRA principals tasked with overseeing the financial advisors at Von Baron Wealth Management Advisors. Additionally, Artisan Capital Partners provides essential business support and back-office assistance, enabling Von Baron Wealth Management Advisors to focus on financial planning and offer investment products alongside tax preparation services.
Osaic Wealth Inc. is a nationally recognized broker dealer that prioritizes a client-centered philosophy, fostering long-term relationships with clients. As a trusted financial advisor, they offer comprehensive financial planning services, along with regulatory compliance oversight, guidance, training, and access to a full array of innovative investment products and top-tier money managers in the industry. Osaic Wealth is also a member of the Securities Investor Protection Corp (SIPC) and the Financial Industry Regulatory Agency (FINRA), providing clients with additional peace of mind, including access to valuable tax preparation services.
At Baron Tax Services, we specialize in expert tax preparation services for individuals and businesses, working to maximizing your tax refunds while maintaining compliance with all tax regulations all while guiding you through the filing process.
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. As a non-profit organization, the CFP Board acts in the public interest by fostering professional standards in personal financial planning, which includes the setting and enforcement of education, examination, experience, and ethics requirements for CFP® certification. This ensures that financial advisors, whether affiliated with a broker dealer or operating independently, provide not only investment products but also essential services such as tax preparation, to help clients navigate their financial futures.
Pershing is well established in the financial services industry and is recognized as one of the largest New York Stock Exchange securities clearing firms. As part of the Bank of New York, which serves as the bank for the U.S. Treasury, Pershing offers valuable support to financial advisors and broker dealers. They provide access to investment products across all major exchanges, including the New York Stock Exchange, the American Stock Exchange, regional exchanges, and the over-the-counter market. Pershing executes and clears all exchange and over-the-counter securities transactions as an agent for Royal Alliance Associates, Inc., following their instructions. Additionally, Pershing acts as the custodian for assets held in brokerage accounts through Osaic Wealth Inc., ensuring robust financial planning and security for clients, alongside tax preparation services.
The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator overseeing broker dealers and securities firms operating in the United States. FINRA is involved in every facet of the securities business, from registering and educating financial advisors and industry participants to examining securities firms, writing rules, and enforcing those regulations along with federal securities laws. Additionally, FINRA administers the largest dispute resolution forum for investors and registered firms, which can include disputes related to investment products and financial planning, as well as tax preparation services.
Securities Investor Protection Corporation
If your brokerage firm or broker dealer goes out of business and is a member of the Securities Investor Protection Corporation (SIPC), your cash and securities held by the firm may be protected up to $500,000, which includes a $250,000 limit for cash. When a SIPC member becomes insolvent, SIPC will request a court to appoint a trustee who will supervise the firm’s liquidation and manage investors’ claims. SIPC covers most types of investment products, such as stocks, bonds, and mutual funds. However, it's important to note that SIPC does not protect you against losses due to a decline in the market value of your securities. Additionally, it does not offer protection for investment contracts that are not registered with the SEC. For those engaged in financial planning, consulting a financial advisor can help ensure you understand the limits of SIPC protection. Also, consider seeking tax preparation services to help manage the implications of your investments.