Our Commitment to Financial Professional Independence
Financial professionals of Kestra Financial view themselves as “fiercely independent” — especially with respect to how they run and brand their businesses; the technology tools and services they use in their practices; the investment products and platforms they access; and the relationships they engender with their clients. Our purpose is to empower the success of the independent financial professionals who affiliate with Kestra Financial with a distinct commitment to enabling their growth, prosperity, and ability to serve the best interest of clients.
Our commitment to independence is unwavering:
BRANDING |
Financial professionals operating under their own independent brands (DBAs) will not be obligated to use the Kestra Financial branding beyond what is required by regulation. |
OPEN ARCHITECTURE |
Kestra Financial will maintain and support financial professionals’ choice of best-in-class open architecture investment, insurance, technology, and software solutions that align with the Kestra Financial due diligence standards, systems, and processes. |
CLIENT ENGAGEMENT
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We believe in the importance of financial professional/client relationships and want to enable deep engagement with your clients. Independent financial professionals of Kestra Financial own their client relationships and, should the financial professional leave, are free to move their client accounts. Kestra Financial will facilitate the departure respectfully and professionally, consistent with regulatory requirements. |
DATA OWNERSHIP |
Subject to privacy regulations, independent financial professionals of Kestra Financial, should they leave Kestra Financial, may retain their clients’ data and Kestra Financial will not obstruct the movement of the data from its systems. |
FEE TRANSPARENCY |
Kestra Financial is committed to fee transparency and will disclose financial professional and client fees openly on AdvisorComplete. |
