Products and Services

Products and Services

Brokerage:

Through our clearing firms Cantella offers access to a multitude of products and services Including:

  • Over 20,000 mutual funds                                         
  • Variable and Fixed annuities
  • Equities
  • Fixed Income
  • Money Markets
  • Options
  • Margin Accounts
  • Cash Management Accounts
  • Full line of Retirement accounts
  • Real Estate Investment Trusts
  • Alternative Investments
  • Unit Investment Trusts
  • Portfolio Analysis
  • Asset Allocation
  • Wealth Accumulation Strategies
  • Retirement Planning
  • Tax Planning Strategies
  • College Education Funding
  • Business Succession Planning
  • Charitable Planning
  • Cash Management
  • Consolidating Assets and Bills
  • Asset Manager Search and Implementation
  • Equity, Bond, Mutual Fund, ETF and VA Research
  • Employee Stock Option Strategies
  • Estate Planning
  • Trust Services

 

Advisory:  

As a dually registered Broker/Dealer and SEC Registered Investment Advisor, your business is seamlessly conducted under one umbrella.

Rep Managed (Discretion on accounts permitted)

An extremely low platform fee and open architecture enables you to find solutions that best suit you and your clients on an account-by-account basis. 

Managed Accounts

Gain access to some of the best third-party managers/TAMPs, mutual fund and ETF programs, SMAs, and UMAs, through our extensive platform, which includes:

  • Lockwood
  • Envestnet
  • SEI
  • Curian
  • ​Brinker
  • Morningstar
  • Genworth
  • Raymond James

 

Financial Planning Fees

Charge hourly or flat rate fees for your financial planning or consulting services.

Insurance: 

Cantella offers access to a wide array of insurance products and services. Cantella offers solutions for all aspects of insurance including annuities, term life, universal life, second to die policies, disability, long-term care, and health insurance from over 30 companies.  We work closely with CRUMP to make sure you have access to the insurance solutions you need.  Experts in advanced planning areas such as wealth transfer, charitable giving, asset protection, and business succession planning can assist you in finding the ideal solution for complex situations.

Technology:  

Leverage the power the award winning platforms offered by our clearing firms along with our proprietary offering, built in-house, to compliment and enhance the clearing firm portals. Our dedicated IT area offers support personnel to help you with your day-to-day technology needs and problems. From helping you decide on the best piece of hardware for your office to remote assistance for training, customizing your workstation, or assisting with issues too difficult to handle over the phone, help is never far away. Our software developers are tasked with designing and implementing solutions to help you work smarter and more efficiently. We challenge our advisors to bring us their recommendations or the enhancements they would like to see and routinely implement these ideas into our technology platform. Enjoy the freedom to choose the third-party vendors and solutions you feel best meet your business needs or utilize our extensive list of discounted pricing with industry-leading vendors and software providers. 

Compliance: 

Many advisors consider the compliance department the dreaded sales prevention team. We have heard many stories of the painful process of trying to receive compliance approval for the simplest marketing piece. We promise when it comes to compliance that we will work with you as a partner.

Sales and marketing is an integral part of your business and we are here to not only help you increase your production, but to do so within established industry rules and regulations. We consider web sites, brochures, print advertising, mailers, sponsorships, and seminars to be valid means of communicating your business to current and potential clients. We will work with you to develop advertising that satisfies regulatory guidelines.

We continue to increase our compliance staff to provide you with timely turnaround of your marketing materials. There are various rules and regulations set by the different regulatory authorities such as FINRA, the SEC and the states that must be followed. Our proactive compliance staff is here to help and protect you and your customers.

Transition:

Changing broker/dealers is a difficult task. It is that "fear of the unknown" that often keeps wirehouse representatives from making the leap to doing what they feel deep down is the right thing to do with their careers. Our transition team will help ease the pain. While changing firms will never be easy, our experience has taught us how to do it better and more efficiently. While a move to Cantella may be the first change of broker/dealers in your career, we have helped transition hundreds of representatives and each time gain more knowledge to help keep the transition smooth.

Our experience will help mitigate your fears and avoid frustration. We are here to help you during those first few months as you learn a new system. We are firm believers in doing things right the first time and want you to ask as many questions as necessary to feel comfortable with each aspect of your business. We develop a timeline for implementation and a transition plan designed to meet the needs of your business. We are here to help.

Your transition team will identify and strategize your business in various aspects including:

  • Establishing your branch office location
  • Transferring securities and insurance licenses
  • Transferring client accounts and processing broker/dealer of record changes
  • Familiarizing you with compliance standards and procedures
  • Printing business cards, letterhead and marketing materials
  • Operations training for opening and viewing accounts
  • Technology guidance to help you get the most out of the platform
  • Trading training to help you understand your new system
  • Understanding commissions and how and when you are paid
  • Public relations strategy including press releases announcing your new branch office
  • Contact information to readily find the right answers

 

 

 

Cantella & Co., Inc. Member FINRA/SIPC

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