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OSJ Services
Independent advisors are facing an ever-increasing list of complex compliance and risk-management responsibilities. Self supervision is becoming much more time consuming. Hiring an OSJ in your office is not a viable option. Many advisors are looking for a solution to these problems. Private Client Group has the ability to offer superior compliance services and very competitive payouts.
As your OSJ, Private Client Group works to ensure you remain in good standing professionally, so your business may operate as proficiently and productively as possible. We act as a liaison between you, the Broker Dealer, and the Financial Regulatory Bodies (FINRA, The SEC, and The State). This concierge service allows you to focus energy on the most important part of your business: Meeting with clients and producing.
Private Client Group handles your daily problems and questions, saving you time otherwise spent with the Broker Dealer. We prepare each advisor and their staff for upcoming Broker Dealer audits. We review all marketing materials prior to submission to the Firm’s Advertising Compliance Department. We notify the advisor of continuing education requirements and firm element deadlines.
At Private Client Group we realize change can be difficult. We are fully committed to helping advisors through their Transition. We work directly with the advisor, their staff, the Broker Dealer, and all Sponsor Companies to make your move as smooth as possible. We assist with initial paperwork, opening new accounts, and VA appointments, thus expediting your transition. Private Client Group will provide funding packages for qualified advisors.
Private Client Group offers advisors assistance with Succession Planning. We know your practice can be your most important asset. Much thought is put into building a business, the same attention should be spent planning an exit from your business. From helping you determine an appropriate value for your business to matching you with a buyer or seller, we will assist you every step of the way.
Most importantly, there are NO contracts with Private Client Group. We realize you own the relationship with your clients. Every client relationship established while a member of Private Client Group remains with you. It is your business, we simply want to service it!
Recent News
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"CHA-CHA-CHANGES" ... Changes In The World Mean Changes Here at Private Client Group
As I sit here on another packed plane with David Bowie’s 1972 song Changes streaming through my iPod, I cannot help to feel the similarities in today’s world. The current, political, economic and financial changes have been striking as in the song, “turn and face the strange, cha-cha-changes.” This past spring many of you watched Greece riot over change. Their country was on the verge of bankruptcy and without the monetary support of EU it would have had to file bankruptcy. Meanwhile the capital building of Wisconsin looks similar as union workers are being asked to pay more of their benefits. The unions’ have conceded to these terms but are unhappy that their future ability to negotiate contracts maybe reduced. As for the Middle-east; I will quote someone much more qualified, Ret. General Colin Powell. At the recent TD Ameritrade conference Gen. Powell said, “the Middle-east is a powder keg, in which people are trying to better the lives of their children and some of these changes may not be friendly to the United States.” I can’t help to believe that is the basic human condition; betterment of self, family, community and hopefully spirituality is what drives the world.
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Private Client Group recently formed an alliance with United States Private Insurance Group located in North Scottsdale. USPIG ( an entertaining abbreviation) is a recognized leader in providing property and casualty insurance, liabilty coverage, and specialized needs such as wine collections, mutiple homes and cars, jewelry, or even ransom insurance. PCG strives to provide a comprehensive approach for our clients to coordinate all of their finacial, insurance, tax, and legal concerns.
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Tim Moran, CEO of Private Client Group recently announced that we have more turbulent markets ahead
Tim Moran, CEO of Private Client Group, is cautious about the market's as has been positioning clients for reduced volatility. "A spiraling deficit, uneasiness in the Middle East, a nervous economy, and uncertainty about future interest rates and inflation has to be taken seriously," Tim recently mentioned at a client function. "Just because things have been going up, isn't a reason to believe that everything is just fine. I have learned over the years that when everyone is bullish, or overly optimistic, it is time to actually be cautious." said Tim. "In my opinion, this isn't the time to be taking alot of risks, or swinging for the fences to hit home runs. Sometimes it is best to just try to reduce risk, take some profits, and preserve what you have because we have seen what can happen to portfolios if the markets pull back or makes corrections!"