What to Expect

Plan First. Invest Second. It's more than a slogan.

It's the way it should be. With the multitude of options available to consumers today, careful planning and consideration must take place before you consider investing in anything.

If you've experienced anything other than "Plan First, Invest Second," we invite you to learn more about how our advisors approach the financial planning process.

USA Financial's companies are regulated by different Federal, State, and self-regulatory agencies. The particular business scope of each company determines which regulatory entity has jurisdiction.

USA Financial Securities' regulatory bodies include:

• The Financial Industry Regulatory Authority (FINRA)
• Securities Exchange Commission (SEC)
• Securities Investor Protection Corporation (SIPC)
• Municipal Securities Rulemaking Board
• Individual state securities divisions

USA Financial Formulas' regulatory bodies include:

• Securities Exchange Commission (SEC)
• Individual state securities divisions

USA Financial Insurance Services' regulatory bodies include:

• Individual state securities divisions
• Individual state insurance departments

USA Financial provides your advisor with a host of different tools, technology, and back-office support to help facilitate a successful advisory practice and to help foster strong client relationships. You rely upon your advisor as an important part of your financial life, and we take that very seriously.

USA Financial offers your advisor:

• Cutting-Edge Technology - Advisors are equipped with some of the industry's leading technology solutions to help manage their practice, and provide a red-carpet-like client experience for you. The technology we provide your advisor is focused on helping them manage the daily tasks of running a business more efficiently. In addition, it is provided as a means of easier account access and portfolio management. Our technology is robust, and our number one priority is the privacy and confidentiality of your personal information.
  
  
• Coaching & Consulting - It is our goal to continually provide educational and professional growth opportunities to your advisor. We strive to be consultants to help your advisor become the very best advisor he or she can be, and to provide you with the client experience you desire.
  
  
• Compliance Services - The financial services industry is ever-changing. An important part of our role is to make sure that your advisor is aware of the regulatory changes that impact his/her practice and that may impact the recommendations he/she makes to you, our client. We help your advisor by keeping them abreast of the important issues that affect their recommendations and help them adhere to our stringent compliance standards.
  
  
• We serve as a genuine business partner to your advisor, and focus on fostering strong relationships with advisors and encourage them to continually strive to be the absolute best they can be.