Broker Check

About Synergy Securities

Founded in 2000, Synergy Securities is an independent, boutique Broker-Dealer that focuses on building strong client relationships and providing premier investment products.

Our goal is not only to help our clients to reach their financial goals, but also to educate and involve them throughout the process.

Broker-Dealers have traditionally practiced a transactional business model, however we strive to create relationships with our clients and empower them to be an active part of the investing process.

We believe very strongly in this philosophy of client empowerment, and it is our view that we have a fundamental obligation to act in the best interests of our clients.

We treat our clients with integrity and respect at all times, and partner with companies who share our commitment to transparency and business integrity.

The Synergy Securities Difference...

Customized Solutions

Premier Products

Integrity and Respect

First and Foremost, we are a Broker Dealer of Securities and Variable Insurance and Annuity products...

In the simplest of terms, we sell securities products like stocks, corporate bonds, mutual funds, government securities, municipal securities, limited partnerships, and tax shelters to our retail and institutional clients. We also have access to a full line of Insurance products like life insurance, variable life and annuities, and fixed-indexed annuities. 

Additionally, We Provide...

Consulting Services

Because of our depth and breadth of knowledge, we are frequently approached and asked to review a 401(k) statement, Private Investment (Reg D Fund or Limited Partnerships) or look over insurance policies. 

We are more than happy to provide this type of consulting service. Technology has allowed us to become more flexible as consultants, and we generally have the ability to review your financial holdings regardless of where they may be held. 

Typically, our basic consulting services may cover, but not be limited to:

  • Tax Planning
  • Retirement Planning
  • Estate Planning
  • Social Security Review
  • Asset Allocation Review (401(k), Taxable, Tax-Deferred accounts)
  • Portfolio Risk/Reward Analysis
  • Personal Financial Planning
  • Cash Flow and Budget Planning
  • Education Planning
  • Insurance Policy Review
  • Corporate Benefits Review

As your situation becomes more complex, we have the capabilities and access to specialized partners to provide a comprehensive financial plan. This would include a complete review of all services listed above with the addition of (but not limited to):

  • Long-Term Care Planning
  • Health Care Planning
  • Insurance Planning
  • Additional Estate Planning Needs (Trust Review, Will Review, additional collaboration with an Estate Attorney)
  • Multi-Generation Planning (may require beneficiary/heir meeting)
  • Advanced Tax Planning (includes any collaboration with your CPA)
  • Third Party Investment Management Analysis
  • Equity Compensation Planning


Investment Management and Ongoing Monitoring of Your Financial Plan

One of the benefits of our partnership with premier Investment Advisory firms like Synergy Financial, and CFS Advisors, and a clearing firm like Hilltop Securities Inc. is our ability to leverage their product and service offerings to deliver a customized investment strategy tailored to your situation, and not providing you a pre-determined investment model designed by a sales department looking to gain scale with retail investor assets. We are not paid a commission by implementing these strategies, and base our fee as a percentage of assets under management. Our incentive is to make sure the strategy we recommend matches exactly with your desired outcome as outlined in your financial plan. We have access to multiple strategies and investment types that include:

  • Stocks and Exchange Traded Funds
  • Both Put and Call Options
  • Corporate and Municipal Bonds
  • Real Estate Investment Trusts
  • American Depository Receipts
  • Alternative Investments
  • Tax Loss Harvesting

This is just an overview of what we may offer. Please contact us to discuss how we may assist you with your investing and financial planning needs.

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