Broker Check

Our Partners

Our Broker/Dealer: First Allied Securities, Inc.

Hallmark Financial, LLC is affiliated with First Allied Securities, Inc. one of the premier broker/dealers in the U.S. and part of the family of independently managed firms of Cetera Financial Group, one of the nation's largest networks of independent broker-dealers.

Our affiliation with First Allied helps us provide prompt attention and service to our clients. A dedicated team at First Allied provides back office support and stands ready to serve us.

As our broker/dealer, First Allied is responsible for executing trades on your behalf. Like all broker/dealers, it must undergo regular auditing and is required to meet specific net capital requirements to ensure it can meet its obligations to investors like you. But their support for our relationship goes well beyond the function of trade executor. Our affiliation means that we are not held to a sales quota or tied to selling proprietary products. Hallmark Financial has the independence and freedom to recommend the financial solutions that best suit your needs, ensuring your objectives drive all decisions. The network of people and resources we have access to helps us pursue your unique goals and vision for the future. And the depth of support we receive includes areas such as wealth management solutions, technology, research, product due diligence, continuing education and industry insight that helps us make more informed decisions. First Allied conducts regular audits of our business and we are given the regulatory supervision, guidance and training to ensure that we are informed of regulatory changes and requirements—oversight that also helps protect you.

Our Registered Investment Advisor: First Allied Advisory Services

Our Custodian: Pershing LLC

While a broker/dealer helps supervise and facilitate the trading that converts your cash into invested assets, those assets are actually held by a custodian. Through First Allied, Pershing custodies individual retirement accounts (IRAs) to ensure they meet Internal Revenue Code requirements for tax deferral. Pershing also custodies brokerage accounts (including the brokerage accounts within IRAs) and fulfill a legal responsibility for safeguarding your assets while also providing related administrative services on your behalf, including settlement of purchases, tax and account record keeping, monthly statements, confidentiality and data integrity protections, and more. Like First Allied, Pershing has to meet certain net capital requirements and is subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation and protection of investors’ assets. Pershing is a subsidiary of the Bank of New York Mellon Corporation, which is the nation’s oldest continuously operating bank and one of the world’s leading providers of securities services.*

*bnymellon.com