Our Qualifications

A Powerful Partnership

As a client of Sopher Financial Group, you become the beneficiary of a powerful national partnership through our relationship with Kestra Investment Services, LLC (Kestra IS).*

Kestra IS provides us access to a top-ten independent broker-dealer by total revenue as ranked by Investment Advisor Magazine– June 2012.

Kestra IS provides advisors with access to top providers and products including stocks, bonds, ETFs and alternative investment solutions through an open-architecture platform and relationships with a wide array of financial product providers. Our clients not only benefit from the depth of our combined expertise and the diversity of our financial products, services, and resources, but also from a strong network of intellectual capital, which allows us to offer robust planning solutions.

At Sopher Financial Group, we are not committed to any “proprietary” products or services. This independence, backed by our powerful partnership with Kestra IS means that we can offer our clients personalized service supported by a strong network of national resources.

 

Our Client Bill of Rights

It is a principle of Sopher Financial Group that the needs and objectives of our clients are paramount, and that they will be treated in a fair and ethical manner by our firm, our employees, and our affiliates.Our strong commitment to the following principles enables us to maintain the many long-term relationships that we have with our clients.

 

As a client, you have the right to premier service:

To be treated as we would like to be treated;

To have prompt and courteous responses to your questions and concerns, as well as fair resolution to any issue with your accounts;

To know that being our client is more than just a business arrangement—we are looking to develop a long-term relationship.

 

As advisors, our responsibilities are:

To provide advice appropriate for your situation;

To provide information about any financial strategy’s risks, timelines, past performance, and costs;

To provide realistic expectations based on your actual financial situation;

To maintain your privacy and provide regularly scheduled reviews.

 

As a client, your responsibilities are:

To provide accurate information about your financial status, goals, and risk tolerance;

To ask questions about recommendations, strategies, current accounts and investments, costs, fees, and potential conflicts of interest;

To notify us immediately if there is a change in your financial situation or personal life.

 

 

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Check the background of this financial professional on FINRA's BrokerCheck