Broker Check

CPA/Custodians

We believe that proactive and open communication with your tax and legal professionals is critical to helping you pursue your financial goals. Clear communication between your professional partners is the only way to help ensure your tax, estate and investment planning needs are aligned with your objectives.

We are happy to work with your existing team of attorneys or tax advisors to coordinate strategies. For your convenience, we can also provide you with referrals to the outside professionals (CPAs, attorneys) we work with on a regular basis.  

Please note we do not draft legal documents, give legal advice or prepare tax returns. We can help by analyzing your tax return, offering possible solutions or alternative ideas to financial situations and giving explanations when you need them.

Investment Management Custodians

We work with leading financial services providers to be custodians of our clients’ funds: LPL Financial (LPLA), SEI Investments Management Corporation (SIMC) and TD Ameritrade (AMTD). These trusted custodians provide platforms on which Bagby Wealth Management can offer our clients a broad range of investment and asset management programs to help our clients pursue their unique wealth management needs. Through these custodians, your investments are covered through SIPC1 insurance.

Learn more about our investment management programs.

LPL Financial

LPL Financial is one of the leading financial services companies and the largest independent broker/dealer in the nation*. For more than four decades, the firm has assisted financial advisors, and more recently, hybrid and independent investment advisor firms, in their goals of protecting and growing their clients’ wealth. A chief objective of LPL Financial is to reduce the complexity of running a financial services practice/firm so advisors can focus on what they do best—help their clients attain their financial goals and fulfill their dreams.

With headquarters on both coasts, LPL Financial supports financial advisors and advisory firms in helping their clients by offering a robust mix of services and tools such as:

  • Enabling technology
  • Comprehensive clearing
  • Practice management programs and training
  • Independent research

LPL Financial understands that providing Americans with unbiased investment advice is critical to their financial security.

Thousands of financial advisors nationwide rely on LPL Financial to help meet their clients’ custodial and recordkeeping needs. They provide some of the firm’s tools and resources that help us discover clients’ priorities, dreams, and passions; analyze and develop financial plans that support each stage of our clients’ lives; and make product recommendations that put clients on the path to pursuing their goals.

For more information about LPL Financial, visit www.lpl.com.   

*As reported in Financial Planning magazine March 2016, based on total revenues.

 

SEI Investments Company (SEIC) and SEI Investment Management Corporation (SIMC)

SEI Investments Company and SEI Investment Management Corporation

SEI Investment Management Corporation (SIMC) is a wholly-owned subsidiary of SEI Investments Company (SEI) (NASDQ: SEIC), a leading global provider of asset management and investment technology solutions since 1968.  SEI helps corporations, financial institutions; financial advisors and affluent families create and manage wealth.

Throughout its 40-year history, SEI’s mission has remained constant: to help clients achieve success by developing consistently relevant solutions delivered through an outstanding client experience.  Many of SEI’s solutions are unique combining advice, investments, technology, and operations into comprehensive solutions designed to help professional wealth managers improve their business success; institutional investors make better financial decisions; and private clients achieve their life and wealth goals.

Today, SEI serves about 7,000 clients, including banks, trust institutions, wealth management organizations, independent investment advisors, retirement plan sponsors, corporations, not-for-profit organizations, investment managers, hedge fund managers, and high-net-worth families.

The subsidiary, SIMC, fundamentally serves as a “manager of managers”, designing active global investment strategies and hiring independent specialist money managers to implement them.  SIMC also serves as a custodian for client funds and investments of the Bagby Wealth Management Investment Management Program.

Learn more at www.SEIC.com

 

TD Ameritrade

TD Ameritrade (NYSE: AMTD) is an online broker and custodian for your investment funds, based in Omaha, Nebraska that for the last 35 years has been a pioneer in “leveraging technology to make investing easier, faster and more efficient.”

In 2006, Ameritrade purchased TD Waterhouse USA creating TD Ameritrade, one of the largest discount brokerages in the United States. As of June 2015, TD Ameritrade has 6.6 million funded accounts and approximately $702 billion in client assets. With TD Ameritrade as a custodian, we can help you make more informed investment decisions and pursue your investment plan with the same dedication to service and convenient solutions you’ve come to expect from Bagby Wealth Management.

Bagby Wealth Management clients who choose to use the TD Ameritrade platform can benefit from the economic use of low cost Exchange Traded Funds (ETFs), accessible through TD Ameritrade, to help save on expenses. The broad range of these indexed ETFs can help you build a diversified portfolio suited to your needs.

Learn more at www.TDAmeritrade.com

 

Past performance is no guarantee of future results, and current performance may be lower or higher than the performance data quoted.

All investments involve different degrees of risk. Clients should be aware of their risk tolerance level and financial situation at all times. Clients should read all transaction confirmations, and monthly and yearly statements sent to them. In applicable programs, clients should read all prospectuses carefully before making any investment decisions.

Clients are free at all times to accept or reject any investment recommendations made by Bagby Wealth Management.

Please understand that any losses are attributed to market forces beyond the control of Bagby Wealth Management.

1SIPC coverage is applicable where brokerage accounts are used.  Applicable limits of coverage are $250,000 for cash and a total of $500,000 per account (including cash).