Introduction

Embracing the Freedom of Independence

Advisers can now own their financial practice, removing themselves from the typical office setting and turn possibilities into reality.

The philosophy of ownership and entrepreneurship is what drives Woodstock Financial Group, Inc. and the advisers it serves. Advisers now have the ability to service clients from anywhere in the United States and offer them the products and services that suit their needs. WFG offers some of the most advanced industry technology including multiple industry leading platforms.

Woodstock Financial Group, Inc. fully embraces these principles.

WFG has always believed in the fundamental principles of flexibility. Our flexible platforms allow an adviser to make the seamless transition from a bank or wire­house setting to a fully independent model. The flexibility of our model has allowed many advisers who have relied on transactional business to transition to a fee-­based asset management business. WFG gives you the tools you need to open the door for this type of business model.

Business Development

We firmly believe that our “Unique Business Development Program” can generate all the prospects you need to take your business to the next level or any level you wish to achieve.

WFG’s culture is to work with each representative on an individual basis to customize a program that is unique to their business model or services offered in their community.  We have numerous approved programs such as, generating 401 (k) leads in your local community and generic or product specific seminars.  Contact our Business Development team today to find out more about how WFG can help you achieve your dreams.

 

Marketing Support

Because your success is of the utmost importance to us, we have a program in place that allows the advisor to choose from a variety of customized marketing materials to personalize his or her business. Brochures, newsletters and other printed materials are available through various vendors in a turnkey environment. Woodstock Financial Group, Inc. has a library of preapproved marketing material including, but not limited to brochures, web­sites, transition letters and 401(k) prospecting letters.

The Woodstock Financial Group, Inc. adviser can participate in a qualified lead program. We match qualified accounts (with assets) based upon their needs and your specialty in your local area so you can work with these clients to service their accounts.


 

Woodstock Financial Group, Inc. is an SEC Registered Investment Adviser.

Our fee-­based asset management program offers a unique product mix that is easily accessible to our advisers.  Our fee-­based advisers have multiple options when choosing RIA platforms. The choices are based on account activity.  Advisers that predominantly use mutual funds would be more suited to the Fidelity Wealth Central whereas an adviser who uses individual stocks, bonds, mutual funds and ETFs would be more suited to use the IMG platform offered through Southwest Securities. Other high­ profile platforms include Lockwood via Pershing and ITS.

Woodstock Financial Group, Inc. takes great pride in our attempts to provide total solutions for advisers and their clients.  Our seventeen plus years of success are the result of our ability to listen.

Technology

Woodstock Financial Group, Inc.  through its relationships with Southwest Securities, Fidelity Investments and Lockwood through Pershing offer its agents and representatives industry leading technology and support.  These relationships provide WFG advisers with access to some of the most advanced technology in the financial industry.

Fidelity Wealth Central, the Fidelity Investments platform for Registered Investment Advisers is the latest tool for portfolio management. It is easily adaptable for both the veteran adviser and an individual who is in the process of annuitizing their business.

Fidelity Wealth Central allows the adviser to manage a client’s portfolio (or a complex family of portfolios), allowing you to aggregate trusts, partnerships and retirement accounts. While using the rebalancing and order management tools, you can conduct research on hundreds of separately managed accounts and access equity research from such trusted sources as S&P and Columbine Capital. Through Wealth Central, you have the ability to research and create client proposals for separately managed accounts. Fixed income research is conducted through BondTraderPro. On board tools include account rebalancing and reallocation, equity research in addition to mutual fund and managed account research.

In addition to separate accounts, fee-­based programs allow you to include such diverse investment vehicles in your client’s portfolio as limited partnerships and private equity, a necessity for the sophisticated client seeking a balanced portfolio. You also have the ability to offer your clients comprehensive reports, over and above the printed brokerage statements.

If you have ever considered fee­-based business, Woodstock Financial Group, Inc. has a seamless transition plan to a fee-­based model. If you are currently a fee-based adviser, WFG can accommodate and service your business, regardless of the size.

AdvisorView Broker Workstation is the cutting ­edge; flexible technology platform offered by Southwest Securities, one of Woodstock’s clearing partners. AdvisorView offers streamlined work flow to help you manage and grow your business. It has one­ click navigation to critical customer information and five powerful applications which are Production Summary, Moneyline, Account Names, Household Manager and Alerts Manager. In addition, you can customize “My Dashboard” with the information you need for your specific book of business. The Power Finder can be used for searches by accounts or households. With AdvisorView you can enter orders, get quotes, customize and save searches, retrieve activity by asset class, date or symbol, export data to Microsoft Excel and much more. 

Insurance

As the population ages, more investors recognize the need to seek the safety of insurance products as part of an overall portfolio.  Woodstock Financial Group’s insurance division offers a full array of insurance products through a variety of carriers.  There are no proprietary products or premier carriers, so you will have the freedom to independently choose what is best for your client’s portfolio.

If you have never considered insurance or if you are discovering it for the first time. complete training as well as opportunities for CE credits throughout the year allow you to enter this exciting and lucrative segment with ease.  In addition to relationships with quality carriers, Woodstock Financial Group, Inc. also has strategic alliances with some of the country’s largest insurance field marketing organizations (FMO).  This relationship results in qualified leads, complete marketing support and successful seminars.

WFG’s Insurance division allows you to offer:

  • Fixed and Variable Annuities
  • Variable and Universal Life
  • Equity and Fixed Index Annutieis
  • Life Insurance, Long Term Care
  • Group and Individual Health
  • Group and Individual Disability Insurance
  • 

Compliance

The successful relationship between the broker/dealer and its advisors ultimately depends on both parties’ ability to operate within the ever-changing rules of the securities industry.  Woodstock Financial Group’s compliance department embraces the independent business model and respects the client-advisor relationship.  Advertising and sales literature approvals can be completed in an expeditious manner.  Again, your success depends on your ability to get your message in front of your clients.  Woodstock Financial Group’s compliance department is here to help you in growing your business.  We make ourselves available to train our brokers when a new financial product or service (s) is being offered.

Commissions

At Woodstock Financial Group, Inc. our independent advisors earn up to a 95% payout based upon gross commissions from securities and advisory business.

Fixed and equity index annuity commissions generated through our exclusive FMO partners are paid up to 100% or above street level.

Commissions are paid via electronic direct deposit on a bi-monthly basis; accurately and on time.

 Transition Strategy

We recognize the entrepreneurial spirit and realize that changing broker-dealers is time spent moving clients and learning new systems. This is why we have a dedicated team of experienced individuals who take pride in giving selflessly to assist our independent advisers.

Setting the standard for independent wealth management is not easy.  That is why our years of experience in helping advisers make transitions have culminated in a strategy that will work for any adviser’s business, regardless of size.

Every adviser’s business is different and Woodstock Financial Group, Inc. works with offices of varying size, we would be remiss if we handed you a binder and checklist and said, “Here, follow this.”

We sit down with you and map out a customized strategy and timeline based upon your goals and business model. The pace of transition ultimately depends on your business needs.

During this period you will receive extensive training in technology and back office procedures. Our transition team will go to great lengths to minimize downtime, implement a seamless transition and work with you every step of the way.

Learning is a process; if you have questions at any time, our experienced staff will always be available to help you.

A Message From Our President


It is a pleasure to offer you the opportunity to investigate the services offered by Woodstock Financial Group, Inc.

I founded the company almost two decades ago FOR YOU.

You understand the industry. You know what’s best for your clients.

You know what’s best for your family.

You’ve worked hard to get where you are in your career and know you can make it on your own.

You have the spirit of entrepreneurship.

Our program will give you control of your future through independence, the ability to do what you believe is best for your clients, and ownership of your business.

As a thirty year veteran of the industry, I’ve seen a lot. As the industry has evolved, our firm has evolved. We’ve seen a lot of competitors come and go over the years but our success is in our never ending commitment to those we serve.

Our firm’s commitment to excellent service, starts at the top and is our culture.

I still answer my phone! Our committed, caring, and knowledgeable staff at our headquarters still answers their phones and reply to all inquiries promptly.

I encourage you to contact me to discuss our program further. This could be one of the most strategically and economically beneficial calls of your career.

For more information please call 800-­478-­2602 or complete the “About You” form.