independent broker-dealer
Grow your practice. We’ll handle the rest.
CreativeOne Securities, the independent broker-dealer built around advisors.
0
%
Advisor retention since day one
0
%
Net Promoter Score (NPS)
0
%
Average year-over-year advisor growth
What we do
Bring insurance, investments, and advisory services together through a single, dedicated partnership. Our service-minded team understands your business and provides the support you need to spend less time managing complexity and more time driving growth.
Back-office support isn't a single thing. It's everything. And when it breaks, it has real consequences.
53% of advisors who left their broker-dealer said it came down to one thing: service*
The service slowdown with a real cost.
You leave a message at 9 AM. Another at 2. By Thursday afternoon, you've called three different people to get a question answered that used to take one call. The firm isn't closed. It's just stopped being available to you.
Compliance bottlenecks you can't route around.
A piece of client-facing seminar collateral has been in compliance review since the 14th. You've followed up twice. Your event is in nine days. You're starting to wonder if "compliance review" is a polite term for "lost in the queue."
The hybrid build that's quietly bleeding you.
Your fee-based business runs through one firm. Your commission business runs through another. Two compliance teams. Two billing operations. Two sets of statements that don't reconcile. Your operations manager spends every Friday afternoon stitching the seam.
This is what a broker-dealer looks like when service is the operating system.
53% of advisors who left their broker-dealer said it came down to one thing: service*
Time
When service, operations, and leadership are easy to reach and consistent over time, you spend less energy chasing answers and more time with clients.
Marketing
Marketing and compliance support that turns ideas into growth. Timely reviews keep your initiatives moving, and a solutions-oriented compliance team gives clear guidance on regulatory requirements. Instead of layers of bureaucracy, you work directly with the professionals reviewing your materials—a responsive, collaborative process that brings opportunities to market faster
Freedom
The freedom to recommend what's right for the client. A platform with no proprietary mandates and no “strategic priority” quotas. Real selling agreements with names your clients already recognize: Jackson, Schwab, Orion, SEI. Build the portfolio your client needs.
Hybrid Model
One business. One relationship. One experience. Advisory and commission business work together under a single platform. One service team. One compliance framework. One operational experience. Less complexity behind the scenes means more time focused on clients and growth.
Tech
Technology built for the modern advisor. An integrated technology ecosystem including Pershing NetX360, Forms Logic, DocuSign, and SMARSH helps streamline operations, reduce administrative burden, and create a more seamless experience across your practice. Strategic integrations with firms such as Zocks provide access to emerging AI capabilities that can improve efficiency and support future growth.
This is what a broker-dealer looks like when service is the operating system.
Time
When service, operations, and leadership are easy to reach and consistent over time, you spend less energy chasing answers and more time with clients.
Marketing
Marketing and compliance support that turns ideas into growth. Timely reviews keep your initiatives moving, and a solutions-oriented compliance team gives clear guidance on regulatory requirements. Instead of layers of bureaucracy, you work directly with the professionals reviewing your materials—a responsive, collaborative process that brings opportunities to market faster
Freedom
The freedom to recommend what's right for the client. A platform with no proprietary mandates and no “strategic priority” quotas. Real selling agreements with names your clients already recognize: Jackson, Schwab, Orion, SEI. Build the portfolio your client needs.
Hybrid Model
One business. One relationship. One experience. Advisory and commission business work together under a single platform. One service team. One compliance framework. One operational experience. Less complexity behind the scenes means more time focused on clients and growth.
Tech
Technology built for the modern advisor. An integrated technology ecosystem including Pershing NetX360, Forms Logic, DocuSign, and SMARSH helps streamline operations, reduce administrative burden, and create a more seamless experience across your practice. Strategic integrations with firms such as Zocks provide access to emerging AI capabilities that can improve efficiency and support future growth.
You went independent for a reason.
So did we.
You chose independence to build the practice you envisioned. We provide the platform, support, and resources to help you take it further.
With the freedom to run your business your way and the infrastructure to help you grow, you can focus on what matters most: your clients, your relationships, and the future of your firm.
Open-architecture wrap accounts
Maintain full discretion over client portfolios while we handle the operational and administrative support.
Access to multiple TAMPs
Choose from a wide range of technology platforms and investment solutions to best serve your practice and your clients.
Full-service broker-dealer
Access a comprehensive suite of investment products, services, and resources to meet your clients' evolving needs.
Relationship-driven compliance
Work with a dedicated compliance team that understands your business and provides practical guidance to support your growth.
Our Leadership
The decision makers on the other end of the phone
The people running the firm are the same people who answer your calls. No queue, no phone tag with an associate you've never met. Year one through year ten and beyond, you get the same direct line to the same leaders.
James Clements
President
Chang Shin
CCO
Tab Yager
COO, VP, Head of Operations
Connect with our team today
Learn how we can help grow your practice.
Process
The first call is different.
So is everything that follows.
01
A real conversation.
We'll tell you what we are, what we aren't, and whether we're the right fit. If the answer is no, we'll tell you that too, and we'll suggest where to look instead.
02
An honest assessment
We review your book, technology stack, clearing relationships, and client base to outline a realistic transition timeline for you, your firm, and your clients. Clear answers, no delays.
03
A transition plan
Every step is assigned to a specific person with a direct line and clear responsibility. If anything deviates from plan, you’ll know early along with a practical solution to address it.
04
The first 90 days
You meet the team behind your support. You successfully transition your book and begin adding new business. You start to see how the relationship works in real time, in the flow of your day-to-day practice.
05
The next ten years
Same service. Same team. Same number to call when you need help.
We grow with you. As your practice expands, the relationships remain consistent so the support you rely on in year one is the same support you have in year ten and beyond, with the partnership still going strong.
Meaningful discussions.
Real solutions.
Meet with a seasoned professional who has spent years helping advisors build and grow their practices. We'll take time to understand your business, discuss your goals, and offer candid insights into whether our platform aligns with your vision, your clients' needs, and your long-term growth.
Ready to begin a partnership built around your success?
Personal service from a team that knows you
An independent partner — same as you.
A direct line to decision makers
Contact Us
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