Brokerage Services
Superior Support Services
You can count on the professionals in our Business Development, Broker Services, Fixed Income and Trading, Compliance, Capital Markets and Accounting teams to provide superior service and support.
Business Development
Put our multi-disciplined experience to work for you. With a deep understanding of every facet of business development, we work every day to advance the growth of our advisors.
Office & Equipment Startup Support
Local Recruiting – Key Staff Development
Brand marketing support
Succession Planning
Branch Development
Technology Stack Consulting
We hold an annual Growth and Innovation Summit each year for all of our reps and advisors. The day is packed with great peer relationship-building opportunities along with informative presentations. Reps and advisors can also take advantage of resources, practice management sessions, and multiple peer-to-peer roundtable discussions focused on new business, technology or succession planning issues.
Broker Services
No one wants to prevent the awkward situation of returning to a client for additional signatures more than we do. Our team of tenured professionals is here to get it right the first time.
New Accounts
Let the LaSalle St. Home Office be your front line support. Our experts in ALL Registration types will ensure you have the required forms and documents to make us all look good.
Money & Asset Movement
We take great care in communicating the process to investors—sometimes going the extra mile to work with custodians to ensure an expedient transfer.
TOA Initiator
Transfer Assets with our paperless electronic workflow, eliminating wasted time and moving assets faster and more efficiently.
“It’s amazing when you look back over the years, how technology has impacted our workflows. Opening an account once took over a week, now we’re completing the process in hours, paperless with electronic signatures.”
Rebecca Rosas
Fixed Income
The LaSalle St. Fixed Income Trading Desk is staffed by knowledgeable professionals, experienced in Fixed Income Trading, Sales, and Portfolio Management, with many of them coming to us after holding high titles at major financial institutions.
Yes, our team has all the experience to meet your needs. But what gives our Fixed Income clients the LaSalle St. Securities advantage is that you will always be greeted with midwestern hospitality, receive honest opinions, and only the most thoughtful recommendations.
Products / Execution
Access to a wide variety of products is one corner of a full picture of success. Every product offering below is accompanied by a vast network of dealer and institutional customer relationships, allowing us to better match buyers and sellers while providing highly competitive prices, timely market information, and precisely timed execution of purchase, liquidation, or hedging activities.
Corporate Bonds
U.S. Government and Agency Securities
Certificates of Deposit
Municipal Bonds
Mortgage-backed Securities
Money Market instruments
Debt Securities denominated in foreign currencies
Fixed Income Report
As a busy advisor, we want to ensure you can quickly gain an overview of market rates and spreads, economic data, and commentary when preparing for customer meetings. And because an engaged investor is an educated investor, we aim for the Fixed Income Report to be a useful tool in opening up a meaningful dialogue on market trends and portfolio positioning – not just between you and your clients, but between advisors and ourselves as well.
Trading
Our trade desk support covers all trading and execution, including equities, ETFs, Mutual Funds, and much, much more. We also have a superlative bond desk to support fixed income trades.
More than ever have independent advisors absorbed the bulk of trading activity, which is why we offer world class trading support. Roadblocks in trade execution, resolving trade errors, execution of a large block order, and complex option orders can be a great source of stress at the branch level. When you need back-up, our representatives are on call to support your trading activity seamlessly.
Compliance
Our strong and dedicated compliance team is an invaluable resource that assists you in upholding all industry, state, FINRA, and SEC requirements.
Regular approval of client communications with one-day turnaround on advertising approvals.
Branch audits are conducted regularly to ensure LaSalle St. and its registered representatives are in compliance with the applicable policies and regulations.
Monitor continuing education requirements and securities registrations for registered representatives and their administrative staff.
We utilize the latest technology tools to foster rep compliance and improve our response times.
“Working with our compliance team is very smooth, the great tools and technology we use allow us to respond to the needs of our registered reps very quickly. We support their efforts to stay competitive in a world where information flows at lightning speed.”
Regan Beaver
Capital Markets
LaSalle St. Capital Markets provides access to a wide array of offerings for debt and equity financing in transactions of all shapes and sizes of investment products. Our team of extraordinary professionals is capable of originating, structuring, and executing full capital structures. We advise and execute for our clients across a broad range of complex financing transactions.
Accounting
Precise, predictable, and timely commission payment is our priority. We understand that advances against production while managing chargebacks can get tricky. That is why we pride ourselves on being flexible to support your cash flow when we can.
Direct Deposits
Payouts fast and easy with direct deposits into your account at the financial institution of your choice.
Split Rep Codes
Flexible tracking of fee and commission splits to support a myriad of management structures.
Online Detail
Full reporting detail provided online, easily accessible for all of your commission and fee payouts.
“The experience, platform and costs are so favorable to the rep that any analysis comparing any other firm keeps LaSalle St on the top of your list.”
Todd Morgan
Joined 1997