There are two areas of concern that are of critical importance to every investor:
1. How safe is the information you give to an individual, business or institution?
2. What is the regulatory oversight and supervision for the individual, business or institution?
In today’s complex world of financial services, in order to do comprehensive wealth management a professional advisor has to wear more than one hat. Axiom Advisors, LLC is regulated by several entities for the different functions our clients expect from us.
· Our financial planning work is through Axiom Advisors, LLC an independent Registered Investment Advisor. It is regulated under the auspices of the State of New Hampshire Secretary of State.
· Our investment management services are provided through Cambridge Investment Research Advisors, Inc. and are regulated by the Securities and Exchange Commission through the compliance department of Cambridge Investment Research Advisors, Inc.
· Our securities business is done through Cambridge Investment Research, Inc. a broker dealer. It is regulated under the supervision of the Financial Industry National Regulatory Authority (FINRA) through the compliance department of Cambridge Investment Research, Inc.
We are audited on a regular basis according to industry regulations.
At Axiom Advisors, we never forget that we protect the most valuable treasure that our clients can give us—their trust.
Understanding the Differences Between Commissionable and Advisory Accounts
Axiom Advisors, LLC
Cambridge Investment Research Advisors, Inc.
FINRA Website: www.finra.org