Broker Check

Woodland Hills

5850 Canoga Avenue

Suite 400
Woodland Hills, CA 91367


Founded in 1970, SagePoint Financial is driven by a strong philosophy that independence is key to delivering sound investment guidance. Our affiliation with the firm empowers us to put your interests first with objective, carefully considered offerings—with no obligation or incentive to recommend any particular investment. SagePoint Financial is part of Advisor Group, the largest network of independent wealth management firms in the country, providing even more strength and stability for us, and for you. 

My Network

Advisor Group

Though SagePoint Financial is part of Advisor Group, it retains its own corporate culture. The company has access to the resources and financial stability of a large firm, while providing the personalized service usually found in much smaller firms. It is the best of both worlds. This two-pronged approach gives SagePoint Financial the flexibility to understand our needs and concerns, and the wherewithal to address them. Both SagePoint Financial and Advisor Group recognize the important role we play in the financial future of our clients and community.

My Clearing Firm

Pershing

Your brokerage account assets are held at a clearing firm, a separate and independent entity. The clearing firm is responsible for the safekeeping, servicing, segregation, and reporting of your assets. SagePoint Financial, Inc. works with Pershing LLC (Member, FINRA, NYSE, and SIPC), a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank. Pershing* is a leading provider of global financial services to institutions, corporations, and high-net-worth individuals, and custodies $2.0 trillion in global client assets.

*Pershing handles confirmation, delivery, and settlement of your financial transactions. You will receive periodic account statements and transaction confirmations, with to option to receive those electronically. Pershing is regulated by the SEC and FINRA, the regulatory bodies that also oversee broker-dealers. Pershing LLC and its global affiliates, June 30, 2020.

WHY I CHOSE MY PARTNERS

  • A multitude of investment strategies broadens the scope of my capabilities.
  • Portfolio management and trading tools allow me to address your needs.
  • Innovative technology ensures timely and accurate execution.
  • Cybersecurity safeguards protect your accounts and information.
  • Operational support frees up my time, to better focus on you.
  • Compliance experts help ensure we are following firm and regulatory requirements.
  • Access to a broad range of investment options, including stocks and bonds, mutual funds, annuities, fee-based advisory programs, and insurance.
  • The ability to deliver additional financial services, including business succession planning; estate, family, and personal needs planning; wealth transfer; deferred compensation; charitable giving; pension maximization; and qualified and non-qualified retirement plans.

For some of these services, you may be referred to other professionals. Individual situations vary. If you require specific tax or legal advice, we encourage you to seek personalized advice from qualified professionals regarding your specific situation.

 

RESPONSIBLE OVERSIGHT AND PROTECTION

SagePoint Financial, Inc. and Advisor Group

I am pleased of the role and responsibility SagePoint Financial, Inc. and Advisor Group take in helping ensure my business and the services I deliver to you follow the best practices and the highest standards of the financial services industry.

What exactly does this mean? In addition to maintaining professional licenses, I attend annual compliance and continuing education meetings, so I am aware of—and compliant with—changes in the regulatory landscape. I personally am subject to ad hoc credit checks conducted by SagePoint Financial, Inc. to ensure I remain financially responsible, while my business is also subject to ongoing auditing to align with state and national regulatory requirements.

Regulatory Oversight

FINRA plays a critical role in ensuring the integrity of America’s financial system—all at no cost to taxpayers. Authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly, FINRA works under the supervision of the Securities and Exchange Commission. Visit FINRA.org for more information.

Securities Investor Protection Corporation (SIPC)

The Securities Investor Protection Corporation (SIPC) protects customers if their brokerage firm fails. Visit SIPC.org for more information.

Pershing is a member of the Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at sipc.org.

In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits from certain underwriters in Lloyd’s insurance market and other commercial insurers. The excess coverage provides protection in the form of an aggregate loss limit of $1 billion for eligible securities, over all client accounts; and a per-client loss limit of $1.9 million for cash awaiting reinvestment—within the aggregate loss limit of $1 billion.

SIPC and the excess of SIPC coverage do not protect against loss due to market fluctuation. An excess of SIPC claim would only arise if Pershing failed financially and client assets for covered accounts—as defined by SIPC—cannot be located due to theft, misplacement, destruction, burglary, robbery, embezzlement, abstraction, failure to obtain or maintain possession or control of client securities, or to maintain the special reserve bank account required by applicable rules.

Lloyd’s currently holds an A+ rating from Standard & Poor’s® (S&P®), an A rating from A.M. Best and an AA- rating from Fitch. These ratings are based on the financial strength of the company and are subject to change by the rating agencies at any time. For more information about Lloyd’s, please see lloyds.com.

Our collective goal is delivering the financial future you envision. We look forward to discussing your goals, and helping you develop your own definition of success along the path of your financial journey.