Broker Check

Financial Advisors

We look forward to introducing you to our highly qualified team of professionals. You are independent, but never alone. You have the choice of a broad range of investment products and services for your clients, without product quotas or minimums, while earning a highly competitive payout. With our hybrid RIA platform, you have greater transparency with your clients, minimizing conflicts of interest.

You have the opportunity to work in a beautiful, turnkey group office in Albany, NY or in your own office location. Our upscale, group office has dedicated reception, plentiful meeting rooms, attractive décor with fully furnished offices, business machinery, administrative support, and free parking. Our Stuyvesant Plaza location is highly convenient for clients - many love the access to nearby shops and restaurants and enjoy making a day out of visiting the area.

With experienced and accessible sales management, compliance, and administrative support you are able to spend more time with your clients. That’s what you do best, and we do our best to support that. State of the art technology puts all forms, client data, and information you need right at your fingertips. And, because our trading and information systems operate are on a web-based platform, you are able to work wherever you can access a computer.

We offer highly acclaimed training opportunities including regular meetings and our annual conference. Our broker/dealer, LPL Financial, has a robust array of market calls, research updates, and a comprehensive online learning center.

You may not want to work forever. Build a practice that ultimately can bring value to you; we’ll help you. If you are considering selling or transitioning your practice, practice, we can work with you toward your objectives. We have a built in network of advisors looking to purchase practices and a successful track record assisting advisors toward retirement. We can greatly ease the transition, working alongside you at every step to help ensure a seamless transition for your clients, maintaining the high level of service to which they are accustomed.

As you come on board, a transition assistance team will help to walk you through transferring your accounts, becoming acquainted with systems and procedures, and getting you up and running with minimal disruption. The availability of e-signature technology may enhance the efficiency of your transition.

For more information, email [email protected] or call 800-361-0587. We will be pleased to speak with you in confidence about your practice and how we might assist you on the next step in your career. If making a career decision, please spend a few moments getting to know Capital Financial Planning - we’re different and it shows!

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