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Advisor FAQ

Is 34 Financial an RIA?

Yes, 34 Financial is a a Regigistered RIA.

Is 34 Financial a Broker Dealer?

No, 34 Financial is not a Broker Dealer nor do we have an affiliation with an independent Broker Dealer.

If I choose to affiliate with 34 Financial would I be an employee of the firm?

No, all advisors that affiliate with 34 Financial are independent contractors.

Would I operate under the 34 Financial brand?

No, 34 Financial will help you set up your own business and you will operate under your own company name as a DBA (doing business as) of 34 Financial.

Is 34 Financial part of broker protocol?

Yes, 34 Financial has relationships with multiple custodians and we work with you to select the best custodian for your business and clients.

Am I able to offer insurance as an IAR (Investment Advisor Representative) of 34 Financial?

Yes, we have multiple relationships with insurance platforms to offer both traditional insurance products and commission free insurance products.

If I transition to an RIA, what do I do about my legacy commission business?

It is very common for us to work with an advisor that has legacy commission business whether that be variable annuities or mutual funds. We work with our advisors during the transition process to identify those accounts and typically present options to convert accounts to a fee based solution.