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Flexible affiliation models for financial advisors
We support financial advisors, consultants, and RIAs with innovative tools, high-touch support, and customizable solutions for their clients. Explore our solutions.
Flexible and scalable tools and solutions for financial professionals
We support financial advisors, registered representatives, and RIAs with innovative tools, high-touch support, and customizable solutions for their clients. Whether your business model is traditional brokerage, advisory or hybrid, we are committed to providing you with a flexible and customizable work environment with the highest level of support and assistance. Access to multiple affiliation choices enables advisors to customize their level of support, services, fees and payouts to fit with how they wish to serve their clients.
An infrastructure designed for every business model
Access multiple ways to affiliate, enabling you to customize your level of support, services, fees and payouts to fit how you want to serve your clients.
Independent Models
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Registered Representative and RIA
This gives you full access to brokerage products and services, advisory services, and our integrated platform from our corporate broker-dealer and our RIA.
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Brokerage Representative Only
This gives you full access to brokerage products, account types, and services through our corporate broker-dealer.
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Independent Advisor Representative Only
Join us as an IAR only with access to our integrated technologies, including client and asset management platforms. Choose from hundreds of third-party managed solutions, our competitively priced proprietary models, or manage the assets yourself.
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Brokerage Representative and Hybrid RIA
Join our broker-dealer and bring your own RIA or let us help you develop one. Leverage integrated platforms, attached to highly capable and global custodians, that emphasize your independence and brand.
Employee Advisor Model
As an employee advisor, you will gain access to full-service home office resources, a dedicated support team, an extensive product offering and an innovative technology platform.
Seamless Transition Support
We understand that switching firms is a tough decision to make and that it can be a complicated process. To support you in this transition, we have a dedicated transition department that is skilled to assist you with everything from client paperwork to orienting you to the wide range of products and technology solutions.
During your transition you will be assigned a Transition Coordinator and a Regional Sales Manager as your primary points of contact. Your Transition Coordinator will choose a customized transition plan and timeline that best suits your business needs. Your coordinator will also provide information about products and platforms available to you as a valued partner.
Our experienced staff provides you with professional, accurate, and efficient customer service. We realize that transitioning between firms is a process and we are committed to providing you with continuous support, guidance and training. The transition process is just the beginning of our long-term commitment to you.
StoneX Wealth Management: Who we are
As a leading independent broker/dealer and SEC-registered investment advisor, we approach every relationship with a client-first mentality and strive to provide customized solutions and the support you need to help you best service the unique goals of your clients.
StoneX Wealth Management is backed by the resources and expertise of StoneX Group Inc. (NASDAQ:SNEX), a diversified financial services company providing execution, risk management, market intelligence and post-trade services across asset classes and markets worldwide.
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FAQ
If I change my business model in the future, will I need to leave StoneX Wealth Management?
No, StoneX Wealth Management is a partner that strives to support the evolution of your business. The financial services industry is constantly changing, and we want to empower our professionals with the tools needed to address any changes while limiting disruptions to their business.
Want to learn more about how we can help you grow your business? Reach out to StoneX Wealth Management today.
If I affiliate with StoneX Wealth Management as an independent, do I have to change the name of my business?
No. StoneX Wealth Management supports independent financial professionals throughout the country that utilize DBA (doing business as) names. These firms are able to use their DBA names in advertising, communications, and marketing materials to clients and prospects. White labeling of statements and trade confirmations is available to independent professionals who meet a minimum of assets under management.
Let’s get connected
To learn more about how our customized financial solutions can help you stay one step ahead in the global markets, contact our team today.
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The Broker-Dealer Division of StoneX Financial Inc. is a member of FINRA/SIPC, MSRB registered and is a wholly owned subsidiary of StoneX Group Inc. You can learn more about the background of StoneX Financial Inc. on Brokercheck. Click here for regulatory disclosures for the Broker-Dealer division of StoneX Financial Inc.
Wealth management services are offered through StoneX Wealth Management, a trade name used by StoneX Securities Inc. and StoneX Advisors Inc. Securities products are offered through StoneX Securities Inc., member FINRA/SIPC. Investment advisory services are offered through StoneX Advisors Inc. StoneX Securities Inc. and StoneX Advisors Inc. are wholly owned subsidiaries of StoneX Group Inc.
Futures trading is offered through StoneX Financial Inc. (“SFI”) is a member of FINRA/NFA/SIPC and registered with the MSRB. SFI does business as Daniels Trading/Top Third/Futures Online. SFI is registered with the U.S. Securities and Exchange Commission (“SEC”) as a Broker-Dealer and with the CFTC as a Futures Commission Merchant and Commodity Trading Adviser.
StoneX Financial Pte. Ltd. ("SFP") (Co. Reg. No 201130598R) is regulated by Monetary Authority of Singapore and holds a Capital Markets Services Licence (CMS100476) for Dealing in Securities, Collective Investment Schemes, Exchange-Traded Derivatives Contracts, Over-the-Counter Derivatives Contracts, and Spot Foreign Exchange Contracts for the Purposes of Leveraged Foreign Exchange Trading, is an Exempt Financial Advisor under the Financial Advisors Act 2001, and is a Major Payments Institution (PS20200625) under the Payment Services Act 2019 for Cross Border Money Transfers.
StoneX Financial (HK) Limited ("SHK") (CE No.: BCQ152) is regulated by the Hong Kong Securities and Futures Commission for Dealing in Securities and Dealing in Futures Contracts.
StoneX APAC Pte. Ltd. (“SAP”) (Co. Reg. No 200616676W) is regulated as a Dealer (PS20190001002) under the Precious Stones and Precious Metals (Prevention of Money Laundering and Terrorism Financing) Act 2019 for purposes of anti-money laundering and countering the financing of terrorism. SAP is an “Approved International Trading Company” authorized to act as a “Spot Commodity Broker” under the Commodity Trading Act.
SFP acts as an appointed agent for SFL's payment services business.