Affiliations
Relationships are an integral part of our social and business communities.
The depth and quality of these relationships go a long way in supporting the goals that we all strive toward.
That’s why we are proud to tell you that when you choose our practice to provide you with financial guidance, you are entering into a relationship with a number of premier financial services companies. All staffed by dedicated, knowledgeable professionals. All working for you!
Nuovo Financial Client Support Team
MY CLEARING FIRM
Have you ever wondered what exactly happens to your funds once you invest? An advisor’s “clearing firm” may have a lot to do with the answer. National Financial Services LLC (NFS), a Fidelity Investments company (member of NYSE and SIPC) is a trusted, established, and financially stable financial services firm that provides clearing services for my practice.
A clearing firm works with various financial exchanges to handle confirmation, delivery, and settlement of your financial transactions. Such firms employ technology and procedures designed to ensure that transactions are processed in a timely and efficient manner. Additionally, clearing firms prepare and send periodic account statements and transaction confirmations to investors. The SEC and FINRA, the regulatory bodies that oversee broker-dealers, also oversee clearing firms.
As custodian of your brokerage account, National Financial Services, (NFS) at the direction of Osaic Wealth, Inc., is responsible for:
The execution, clearance, and settlement of securities transactions.
Preparing and sending periodic statements of your account and transaction confirmations.
The custody (or safekeeping), receipt, and delivery of funds and securities.
The extension of margin credit upon approval.
OUR BROKER DEALER
Osaic is the behind-the-scenes partner for Nuovo Financial.
Osaic an independent Broker Dealer and Registered Investment Advisor that provides us with back office, technology, regulatory and operational support.
They are a service-driven community that believes planning for the future should be transformative, not transactional. Their rich history and continual focus on growth and innovation means we have access to premier investment and advisory planning services, high-net-worth solutions, insurance protection products, and more. This allows us to offer objectivity, independent investment advice, with no obligation to promote any particular investment.
Osaic believes wealth management is for everyone, that’s why they are committed to ensuring we are equipped with everything we need to target your specific objectives and help you feel more financially confident. Osaic is one of the nation’s largest independent wealth management firms, and they believe strongly in their primary goal of empowering Financial Professionals to provide objective, non-propriety counsel and recommendations, placing your unique needs about all else.
Expansive resources for you and your financial professional
Osaic & Nuovo Financial Provide:
Strength & stability behind your financial plan and future retirement.
Maximum choice when selecting investments and financial solutions for your needs.
Flexibility to manage your portfolio efficiently and aligned with your plan.
Ability to borrow against your investments when life’s unexpected needs occur without affecting your portfolio’s future.
Secure 24/7 access to your portfolio through innovative technology & cutting-edge cybersecurity.
Access to valuable in-house financial services: tax and estate planning; retirement planning; business planning; wealth transfers, deferred compensation, charitable giving and more.
Securities and investment advisory services offered through Osaic Wealth, Inc. member FINRA/SIPC. Osaic Wealth. is separately owned and other entities and/or marketing names, products or services referenced here are independent of Osaic Wealth. This communication is strictly intended for individuals residing in the states of WA and TX .
The information being provided is strictly as a courtesy. When you link to any of the websites provided here, you are leaving this website. We make no representation as to the completeness or accuracy of information provided at these websites. The company is not liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, websites, information, and programs made available through this website. When you access one of these websites, you are leaving our web site and assume total responsibility and risk for your use of the websites you are linking to.
Osaic Wealth Form CRS
Copyright © 2026 Nuovo Financial - All Rights Reserved.
This website uses cookies.
We use cookies to analyze website traffic and optimize your website experience. By accepting our use of cookies, your data will be aggregated with all other user data.