Tag Archives: Independent Broker Dealer

Protecting Customer Data and Your Computers (Part 1)

Savvy financial adviosors know that “bad things can happen” on the internet. As a trusted professional, you must take steps to safeguard your computers and your customer data [particularly their Non- Public Personal Information (“NPPI”)] from unauthorized access and potential loss. The SEC has mandated that for Registered Representatives and Registered Investment Advisors, establishing unique user accounts, using complex password protection and maintaining appropriate anti-virus software are all required computer protection procedures. Additionally, you must also maintain a “firewall” on all internet-connected computers. Simply put, without a firewall, your computers sit “naked” on the internet and are exposed to any potential threats.

Centaurus adds TD Ameritrade to Classic Plus Platform

Exclusively for Centaurus Representatives: TD Ameritrade Webinar Training

The Centaurus Wealth Management Department is pleased to announce that we have recently added TD Ameritrade as an Asset Based option on the CLASSIC Plus platform. Our upcoming webinar series will introduce Portfolio Rebalancing, and Infinita (A high net worth prospecting tool).

The relationship with TD Ameritrade brings more than just trading tools, it also brings great practice management and growth tools. To help educate you on the various services available, TD Ameritrade will be hosting training sessions exclusively for Centaurus representatives. Please mark your calendars and don’t miss out on this opportunity to learn how TD Ameritrade can enhance your practice and help you manage your client’s assets more effectively.

Who is Centaurus Financial?

Centaurus Financial (CFI) is a full-service independent broker dealer with a national presence licensed to offer insurance products and securities, such as stocks, bonds, mutual funds, separately managed accounts, annuities, alternative investments and wealth management services to the investing public. Centaurus is registered with the Securities & Exchange Commission and is a member of both FINRA (Financial Industry Regulatory Authority) and SIPC (the Securities Investor Protection Corporation).

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