Financial Advisors Like You Can Find a Home at SMN Financial

SMN empowers you to do business in a way that fits your goals for independence.

Create Your Perfect Fit With Advisor Fit

Through SMN’s consultative Advisor Fit process, we work with you to design a practice that reflects how you want to serve your clients and achieve your business goals.

From full independence, to our employee model — and everything in between — we identify your most fitting business structure and then personalize it to you.

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Investing In Your Future

Advisors drive the future of financial advice. That’s why you’re the focus of our advisory platform, technology stack, pricing structures, product offerings, and every investment we make. As you seek new opportunities, we’re right there with you, building new capabilities in the industry together. It’s just one of the reasons why SMN should be your home — now and for the full life of your practice.

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Own Your Independence

We believe you should be the architect of your own vision. At every level, we’ve created an environment that promotes financial advisor independence through ownership. That means — even in our employee model — you own your client relationships. We have no direct-to-consumer offerings, so you’ll never have to worry about SMN competing for your clients. 

Increase Your Opportunities

When you partner with SMN, there are no complicated production thresholds or compensation grids, ensuring you control how much you make and how you can evolve. As a holistic wealth management firm — broker-dealer, custodian, and clearing firm all in one — we provide highly competitive payouts at every service level, low pricing and fees to help maximize your revenue, and capital to invest in your business and drive growth.

Leverage Our Stability

At SMN, we define stability as a steady and ongoing investment in our advisors so they can pursue success how they see fit. You can rely on us to continually invest in technology development, seasoned onboarding teams and employees to support your day-to-day business, and resources to drive efficiency, minimize costs, and maximize your profitability as an advisor.

Customize Your Fit

Customization is central to our Advisor Fit process. After we help you curate and customize your ideal fit — including integrated technology tools, personalized investment solutions, professional marketing and brand strategies, and growth support — we help you problem-solve when challenges arise. We remain nimble, alongside you, as you continue to evolve. 

The SMN Difference

Multiple Affiliation Models

Explore SMN’s spectrum of independent business models — from our employee model, to full independence and everything in between.

Learn More

No Proprietary Products

SMN has no proprietary investment products or investment banking operations. You’re empowered to make informed recommendations based on comprehensive research and unique client goals.

Business Consulting & Growth Solutions

Leverage SMN’s strategic partners and industry-leading resources and tools to support your business, so you can focus on serving your clients.

Greater Advisor Support

Our 1:4 ratio of employees to financial advisors ensures you have the service and support to help exceed client expectations.

Industry-Leading Technology

Run all your daily operational tasks through a single, integrated central platform. Our technology is the #1 reason advisors join SMN.

 

Business Launch & Transition Expertise

We do the legwork so you can focus on running your business while you transition. In some cases, the process can take as little as two months.

Leadership, Size, and Strength

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SMN Financial has evolved into a Fortune 500 company 1

#4

One of the largest RIA custodians in the country 2

27 yrs

A leading custodian, and the nation’s largest independent broker-dealer for over 25 years running 3

22k

We serve 22K financial advisors and $1T in brokerage and advisor client assets, serviced or custodied 4

SMN Advisor Paths

As an advisor, growing your financial practice means having a continuous commitment to learning and evolving. Read through actionable strategies and insights you can use to efficiently run your business, as well as the latest news and updates from SMN Financial.

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Players in Mergers & Acquisition Game | A Talk with Jeremy Holly

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SMN Private Wealth Management: HNW Advisors’ New Choice

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Elevating HNW Advisor Business through Whole Client Approach

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Jason Valle’s Advisor Success: Born from Diversity & Inclusion

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Disclosures

1 Fortune 500 ranks U.S. companies based on a review of the prior year’s total revenue and factors such as profits after taxes, year-end assets and total stockholders’ equity.

2 Cerulli Associates, 2023 U.S. RIA Marketplace Report

3 As reported by Financial Planning magazine June 1996 – 2023, based on total revenue.

4 Data as of October 2023

The views and opinions expressed by SMN Financial Advisor(s) may not be representative of the views of other Financial Advisors and are not indicative of future performance or success. Neither SMN Financial nor the SMN Financial Advisor can be held responsible for any direct or incidental loss incurred by applying any of the information offered.