Broker Check

Our Broker Dealer

What is a broker/dealer?

A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to select a broker/dealer to partner with on your behalf. We are proud to present ProEquities, Inc., our broker/dealer.

About ProEquities

Founded in 1985, ProEquities, member FINRA/SIPC, is an independent broker/dealer-RIA with headquarters in Birmingham, Alabama. The company supports more than 750 independent advisors nationwide in serving their clients. Affiliated advisors include registered representatives, investment advisor representatives, and registered investment advisors. ProEquities constantly refines its approach and rises to the challenge of an ever-changing industry. Its team understands the importance of providing unique, trusted solutions while delivering personalized client service.

Support for You and Your Advisor

ProEquities’ role is to support us every step of the way, providing the tools to help you and your advisor build your financial future and safeguard your retirement goals. Its supporting companies are well-founded and financially stable. ProEquities’ parent company is Protective Life Corporation which is part of Dai-ichi Life Holdings, Inc. (“Daiichi”). Dai-ichi is among the largest global life insurers and is traded on the Tokyo Stock Exchange (TYO: 8750).

Learn More About ProEquities

We’d be glad to answer any questions you may have about our partnership with ProEquities. Please feel free to call us or visit

ProEquities: Independent Broker/Dealer | Trusted Financial Solutions
ProEquities is an independent broker/dealer offering quality financial services and support to financial advisors nationwide. Call today for more information.