Our Broker Dealer: Commonwealth Financial Network

What is a broker/dealer?

A broker/dealer is a company in which a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner on your behalf.

Why Commonwealth Financial Network®?

Commonwealth is an independent broker/dealer–RIA, which means that our firm is free to act in your best interest, without pressure to promote a particular product or strategy. It's a model that differs from that of some other, larger financial firms known as wirehouses, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.

Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they're needed and to act in the best interests of their financial advisors and clients—not shareholders.

How Commonwealth helps us help you.

Commonwealth was ranked "Highest in Independent Advisor Satisfaction Among Financial Investment Firms" in the J.D. Power and Associates 2013 Financial Advisor Satisfaction Study.* But it's what that achievement means for our clients—on a daily basis—that makes the difference.

Commonwealth goes far beyond what's required of a broker/dealer; the entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It's that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.

  • Investment choice. Your financial objectives, personal investment style, and risk tolerance are the only criteria that influence our recommendations to you. Commonwealth offers us access to a virtually limitless selection of third-party investment vehicles and truly objective, independent research from its in-house analysts, helping to ensure that we have the freedom to operate in your best interest.
  • Service. The firm's advisor-to-staff ratio is one of the best in the industry. This means staff members answer our calls promptly, execute transactions quickly and accurately, and, in general, offer our firm the same first-class treatment we strive to give you.
  • Technology. Commonwealth's technology platform is a critical component in our ability to provide you with first-class service and support. Its integrated web-based systems allow us to efficiently manage your portfolio and your overall financial picture.
  • Security. Commonwealth is second to none in its commitment to safeguarding your privacy and ensuring that your investment data remains secure. From encryption standards to disaster recovery plans and other measures the firm employs, we are confident that the information our clients entrust to us remains secure.

If you'd like to know more about our affiliation with Commonwealth, please feel free to give us a call—we welcome the opportunity to talk with you.

Insurance and Investments are not insured by the FDIC and are not deposits or other obligations of, or guaranteed by, any depository institution. Funds are subject to investment risks, including possible loss of principal investment.

The financial advisors of MountainOne Investments offer securities and advisory services through Commonwealth Financial Network®, member FINRA/SIPC, a Registered Investment Adviser. Fixed insurance products and services offered through CES Insurance Agency. MountainOne Bank is not a registered broker-dealer or Registered Investment Adviser. MountainOne Bank, MountainOne Insurance and Commonwealth are separate and unaffiliated entities. MountainOne Investments’ main office is located at 85 Main Street, Suite 110, North Adams, MA  01247.  (413) 664-4025

This communication is strictly intended for individuals residing in the states of
AK, AL, AZ, CA, CO, CT, DE, FL, GA, IL, IN, MA, MD, ME, MI, MN, MO, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TX, VA, VT, WA.
No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services.

Securities and advisory services offered through Commonwealth Financial Network®.
Member FINRA, SIPC, a Registered Investment Adviser.

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