Our Company
An SA Stone affiliated advisor’s expertise involves getting to know their clients, understanding their goals and discovering their level of comfort to make investing recommendations each client can trust.
Comprehensive Wealth:
- Brokerage Services
- Lending Solutions
- Life Insurance and Annuities
- Wealth and Estate Management
- Managed Portfolios
- Retirement and College Planning
Working with an SA Stone Advisor
As a registered representative, your financial advisor is required by the Financial Industry Regulatory Authority (FINRA) to affiliate with a broker/dealer to process investment transactions on your behalf. Financial advisors who wish to provide investment advisory services to their clients are required to associate with an investment adviser registered with one or more states or the Securities and Exchange Commission (SEC). SA Stone uses its breadth of expertise and resources to make available the tools your advisor needs in order to provide the best possible guidance for you and your future.
Important Disclosures
SA Stone Wealth Management Margin Disclosure
Customer Complaint Notification
Mutual Fund Website Disclosures
Callable Securities Procedures
ERISA 408(b)(2) Compensation Disclosure Statement
SA Stone Cash Sweep Disclosure Statement
SASIA Form ADV Disclosure Document
Regulation Best Interest Disclosure
Customer Relationship Summary – Advisory and Brokerage
SA Stone Fee Schedule (for accounts held at StoneX)
SA Stone Fee Schedule (for accounts held at Pershing)
MSRB Client Education and Protection
Securities offered through SA Stone Wealth Management Inc. Advisory services offered through SA Stone Investment Advisors Inc. SA Stone Wealth Management Inc. is a registered Broker-Dealer and member FINRA/SIPC.
