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Rating Index
Pros
Wide range of financial services offered, including investment planning and retirement planning.
Personalized attention due to a low advisor-to-client ratio, which can enhance client relationships.
Strong average client balance, indicating a level of trust and satisfaction among existing clients.
Cons
Lack of regulatory oversight, as the broker is not regulated, which may pose risks for investors.
Presence of disciplinary alerts, which could raise concerns about the firm's compliance and ethical practices.
Limited geographical service area, restricting access for potential clients outside of the operational states.
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