Broker Check

Our Partners

Our Broker/Dealer and Registered Investment Adviser: Cetera Advisors, LLC

Hallmark Financial, LLC is affiliated with Cetera Advisors, LLC, 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.

We leverage Cetera's technology and tools, financial solutions, investment protection and network of support and services to help us deliver the excellent client service you'll come to expect from Hallmark Financial.

As our broker/dealer, Cetera Advisors 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. Cetera 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 Custodians: Pershing and Cetera Investment Services

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. Cetera Advisors works with two custodians. Cetera Investment Services LLC custodies individual retirement accounts (IRAs). Pershing LLC custodies brokerage accounts, including the brokerage accounts within IRAs.

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. Cetera Investment Services is an affiliate of Cetera Advisors, providing brokerage and other services to its own clients in addition to providing IRA custodial services to Cetera Advisors’ clients. Both Pershing and Cetera Investment Services have to meet certain net capital requirements and are subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation and protection of investors’ assets.

Cetera Investment Management

Cetera Investment Management delivers a wealth of independent, objective research and advice designed to make sense out of the complex, often-changing economic landscape. These include thought leadership on the latest detailed market information as well as investment perspectives, asset allocation strategies, and investment ideas and recommendations.

Cetera Investment Management LLC is an SEC registered investment adviser owned by Cetera Financial Group®. Cetera Investment Management provides market perspectives, portfolio guidance, model management, and other investment advice to its affiliated broker-dealers, dually registered broker-dealers and registered investment advisers.

Learn more about Cetera Investment Management