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investment solutions

Investment Solutions is a full service financial planning firm striving to build financial balance with appropriate priorities and proper organization. We are located within a number of Roundbank branches to help ensure our clients can easily find us and we have access to other important financial resources. With our clients, we do not lead with a financial plan built on unattainable assumptions and unrealistic risk. We provide financial recommendations to help ensure greater financial security for clients. We have partnered with top financial companies to help clients implement their plan and utilize cutting edge technology to develop and cultivate long lasting, values based client relationships.

Who is Investment Centers of America, Inc.?

Investment Centers of America, Inc. (ICA) is the broker dealer that we conduct business through. Based in Bismarck, North Dakota ICA is an independent broker dealer that has been a leading provider of investments and insurance products through community banks and independent offices since 1985. With nearly 400 professional advisors, ICA uses a client-focused approach to support independent financial advisors in meeting their customers’ goals. As a result, ICA’s financial advisors have the resources that they need to help their clients meet their investment and financial planning needs. For more information on ICA visit www.investmentcenters.com

Who is Pershing, LLC.?

ICA clears it’s securities trading through Pershing, LLC which is one of the largest clearing firms in the industry. Pershing is composed of 4,300 highly focused, experienced personnel developing and supporting more than 1,100 financial organizations worldwide.

Pershing is a member of the Securities Investors Protection Corporation (SIPC) that protects a client’s assets up to $500,000, of which $250,000 can be in cash. SIPC protection does not cover any losses due to market fluctuations. More information about SIPC protection can be obtained at www.sipc.org.

Pershing carries “excess SIPC” (in excess of the SIPC limits discussed above) protection through a private insurance company, Customer Asset Protection Company (CAPCO), for the net equity of your clients’ securities positions and cash in their accounts in excess of the SIPC limits. Net equity refers to the value of your clients’ securities, plus cash minus any amount that may be owed, such as margin loan. CAPCO is a captive insurance company licensed by the state of Vermont. More information on CAPCO can be obtained at www.capcoexcess.com.

Disclosure: Pershing, LLC, a subsidiary of The Bank of New York Mellon Corporation

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