Broker/Dealer Services

Zero Conflicts

As an independent broker/dealer, we’re not tied to any proprietary products, so no conflicts of interest exist that are present with companies who offer in-house products. Signal Securities offers the full spectrum of financial planning solutions as a broker/dealer. Your advisor may recommend one or more of the listed types of accounts, depending on your objectives:

• Investment and Cash Management Accounts
  • Individual and Joint
  • Transfer on Death
• Retirement Planning
  
  • Traditional and Roth IRA
  • Rollover IRA
  • 401k’s, Simple IRA, SEP-IRA for both large and small businesses
• Education Planning
  
  • Coverdell Educational Savings Account
  • 529 Plans

Individual Securities

Even during uncertain market conditions, buying and selling individual stocks and bonds is still an important aspect in many financial plans when done well. Investing in individual securities allows clients to determine their own level of risk and be more selective and surgical in their investment strategy. Recognizing that, Signal’s trading room is staffed with knowledgeable, licensed professionals who specialize in providing current market information including research and quotes.

Equities

Equity investment is a long-term investment strategy in individual securities whereby profits are realized through dividend payments and capital gains accrued on the equity of a particular stock. This can be an important aspect to an investment portfolio and Signal has access to a wide array of equity investment opportunities.

Fixed Income

Signal has developed trading relationships with dozens of fixed income dealers in the marketplace. This enables the firm to obtain the best prices for any fixed income product. All types of fixed income securities can be executed quickly and efficiently.

We obtain updated offerings on both new and secondary issues throughout each day of the following issues:

• Municipal Bonds
• Corporate Bonds
• Government Agencies
• Treasuries
• Certificates of Deposit
• Unit Investment Trusts

We clear our trades on a fully disclosed basis with our correspondent Hilltop Securities.

Mutual Funds

Some of the most popular investment vehicles today are mutual funds. Investors use them as a core holding for many components of their financial plan.

Signal Securities has relationships with virtually every major mutual fund family and offers closed end funds, exchange traded funds, and unit investment trusts. From large cap to small cap and growth to value, we have it all.