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Home > Financial Services > Stock Brokers > Unified Financial Securities, Inc.

Unified Financial Securities, Inc.

Unified Financial Securities is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

In 1952 Unified Financial Securities was incorporated on November 20 as Unified Underwriters. Unified Financial Securities sells its retail brokerage and clearing business to Westminster Financial Companies in Dayton, OH.

The Company wants you to be partner with a quality distribution partner that is with you for the long haul. Someone who you can count on when there are obstacles to overcome and a firm that allows for you the best and most advantageous opportunities in front of you, while at the same time not sacrificing the service and guidance that you deserve and expect.

The Company takes great pride in knowing that only the compliant conscious will survive in this industry and they go to great levels to bring this type of standard to their clients each and every day. While all of them are in the business to succeed, it must be earned and not taken. Through their knowledgeable staff and experience in the mutual fund services world, they provide the tools and services that allow a fund company to work within the system, which eventually provides for the greatest opportunities for growth.

They provide statutory distribution services to its clients. Standard services include the following General underwriter for shares, Dealer Agreement setup and monitoring Commission Services, Compliance obligations of distributor and Serves as a qualified non bank custodian for Individual Retirement Accounts.

The Distributor plays an integral part of their mutual fund services organization. As more and more emphasis is placed on a fund organization’s ability to gather or raise assets, Unified feels that they have leveraged their abilities in this area to give their client’s the best opportunities with the right tools to accomplish. As a mutual fund service provider, each working part must interact and coordinate their activities with one another to run as efficiently as possible.

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