Independent Broker-Dealers

Independent Broker-Dealers

Every day, you juggle two competing goals: supporting the diverse businesses of independent professionals—and keeping your own operations running efficiently, under tight regulatory control.

Pershing can help—with customized solutions tailored to complex businesses like yours. Our flexible technology seamlessly integrates with your own environment, including third-party or proprietary order management, portfolio management, and asset allocation systems. Our open-architecture platform offers one-stop access to best-in-breed global investment, wealth, and cash management solutions.

You can also take advantage of a tightly integrated platform with efficient straight-through processing, customizable reporting, and rigorous compliance controls through our proprietary The Rules Engine™.

How We Support Independent Broker-Dealers

  • Flexible technology that supports the home office and independent practices
  • A flexible, open-architecture investment platform
  • Easy customization, including private labeling of client brokerage account statements
  • Packaged products for mutual funds, annuities, and insurance
  • Investment professional tools, such as order blasting, model portfolios, and drift reporting
  • Global execution, clearing, and custody
  • Efficient workflow and straight-through processing
  • Dedicated practice management resources and tools
  • An experienced, dedicated relationship management team

Contact us to learn more about how we can help your business grow without limits.


World-class financial services to support an evolving, global market

Paperless Office


Connect with Pershing