CreativeOne Securities Information

Run One Practice, Not Three Compliance Regimes Most advisors piece their practice together — a broker-dealer for securities, a separate RIA for advisory fees, an outside IMO for annuities and life. Each relationship brings its own paperwork, its own supervision, its own compliance contact to manage. CreativeOne Securities is dual-registered as a broker-dealer and RIA, with insurance built directly into the platform. One roof, one team. Why Advisors Affiliate With Us Compensation flexibility, without the patchwork Serve clients on commission, fee-based advisory, or a blend of both — under one registration structure, with no separate books to reconcile and no conflicting compliance requirements to sort out between firms. A full product shelf, insurance included Securities, advisory accounts, and insurance solutions — annuities, life, LTC — are all supported natively. No handing the insurance conversation to an outside IMO and losing visibility into that part of the client relationship. Compliance infrastructure that covers all three regimes Reg BI, Advisers Act fiduciary duties, and state insurance suitability rules are handled by one compliance team that understands how they interact — so you're not stuck reconciling guidance from three separate supervisors. M&A and succession support that understands annuity revenue Buying a book, selling one, or bringing on a partner — we know how to value and transition trail-based and annuity revenue correctly, because we do it regularly, not as a one-off. Technology and vendor due diligence, already done Platform integrations with custodians like Pershing, Schwab, and SEI, and vendor relationships already vetted through risk and compliance review, mean less time on due diligence and more time with clients. joinc1s@c1s.net