Our Solutions Platform

Click through the tabs below to see what partnering with National could do for you and your clients.
National is proud to partner with premiere custody and/or clearing firms including Fidelity, Pershing, Raymond James, Axos, TD Ameritrade and Charles Schwab.

National supports your business with a client-centric, integrated solutions platform. From brokerage to advisory to insurance and tax services, National provides you with a sophisticated wealth management and planning platform designed to meet all your clients’ financial needs in one place. Our investment banking group adds value with IPO, syndicate and pre-IPO investment opportunities for qualified clients that you won’t typically find at competitor firms.

Take a look around and consider what partnering with National could do for you and your clients.


National’s Advisory Platform offers comprehensive wealth management and financial planning solutions that allow you to tailor a program to your clients.

We combine a multi-custodial model with industry-leading technology and a robust and diverse investment lineup. One central location provides you everything you need from beginning to end:

  • Institutional Research
  • Portfolio Creation
  • Proposal Generation
  • Rebalancing and Trading Tools
  • Performance Reporting
  • Billing
  • Client Portal Access

Advisory Programs That Showcase Your Value 

  • Unified Managed Accounts (UMA)
  • Fund Strategist Portfolios (FSP) 
  • Small Account Solutions 
  • Advisor-as-Portfolio Manager 
  • Separately Managed Accounts (SMA)

See Descriptions and Fee Schedules of Advisory Programs

Financial Planning and Consulting Services

The trend toward robo-advisors and other commoditized investment platforms will leave many clients seeking a resource for the advice they need to navigate their financial future. Through the National Consulting Agreement, you can position yourself as a true wealth advisor by allowing you to charge ongoing flat fees, project fees or hourly fees for the advice and time you give your clients—in lieu of or in addition to any asset-based fees you may earn.

Insurance & Annuities

National’s relationships with all major A-rated insurance providers allow us to find solutions and write policies for corporations, institutions, family offices and individuals.

The future of our industry is rich with opportunity, but it demands a new level of commitment and knowledge. Our strategic partnerships provide strong local support, underwriting expertise, advanced marketing and competitive compensation. National is committed to providing you with the tools, strategies, ideas and opportunities needed to succeed.

Our Fixed Product Platform

  • Fixed/Index Annuities
  • Indexed Life
  • Universal Life
  • Whole Life
  • Term Life
  • Variable Universal Life
  • Corporate Owned Life “COLI” Insurance
  • Premium Financing
  • Disability Income
  • Long Term Care
  • Group Supplemental Insurance

National’s fixed platform provides access to top-rated carriers and guidance through our network of highly experienced industry professionals, who will support you with:

  • Case Design and Illustration Preparation
  • Education and Training
  • Underwriting and Sales Support
  • Online Quoting
  • Online Case Access
  • Online Contracting
  • Annuity and Life Audits
  • Term Insurance E-Apps

Variable Annuity Platform

Variable annuities can be foundational instruments for long-term financial planning and wealth protection. We offer a suite of annuities that can be used to meet these objectives.

With our Annuity Platform, you will always have the guidance and assistance you require, whether it be directly from National or through one of our expert wholesalers. You will also enjoy access to Annuity Nexus, a leading research tool that provides the most comprehensive fixed, indexed, and variable annuity information in the industry in one simple search.

Tax Services

As part of our full suite of services, National is committed to helping our clients find the most tax efficient solutions for all their financial needs. Our in-house tax team can work with your clients to implement a sound, well-thought out financial strategy to minimize tax liabilities, thereby increasing clients’ personal wealth and improving their family’s financial security.

Tax Service Models

We have several ways for you to incorporate tax services into your clients’ financial plan.

  •  Work with an Existing Tax Office

When making your move to National, you may want to consider working with or even joining one of our National Tax and Financial Services branches.

Our team of tax and accounting consultants will work with you and your clients to integrate sophisticated tax planning into your clients’ overall financial and investment plan.

With over 50 tax professionals across 18 offices, National Tax and Financial Services provides a great foundation for you to further your business while leveraging all the products and services National offers.

  •  Integrate with a New Tax Practice

National offers a hybrid model, combining our independent and W2 tax practice models, that has become a popular option.

Let National find and purchase an independent tax practice to refer their clients to your local independent branch. Depending on your infrastructure needs, it may make sense to integrate the two practices into a single office, creating a full-service hub for your clients’ financial needs.

Investment Banking 

National is a leading middle market investment banking firm with a track record of success providing and structuring financing solutions for its clients.

Our investment banking team offers financial and strategic advice, mergers & acquisitions services, primary and secondary offerings, and private placements.

Drawing from over 70 years of industry experience and building on relationships with top tier firms from both the buy-side and the sell-side, we have built an innovative platform designed to work with corporate issuers of any size.

Why This Matters to You
Where many larger firms prevent clients from taking advantage of their full suite of investment opportunities, National’s Investment Banking platform offers unparalleled access to these exclusive deals.


National’s Investment Banking platform is further enhanced by our active Syndicate Desk, which provides you access to a constant stream of IPOs, secondary, follow-on, overnight and preferred offerings. The Syndicate Desk’s robust calendar offers multiple new issues each day, averaging well over 30 unique offerings every month.

Our Syndicate Desk sources product from Fidelity Capital Markets and many other national brokerage firms. This gives your clients a broad, diversified array of investment opportunities to consider, including top-tier new issues from large cap issuers. Industries covered include:

  • Biotechnology
  • Real Estate
  • Oil and Gas
  • Agriculture
  • Pharmaceuticals
  • Financial Services Companies
  • Technology

The Syndicate Desk is a trusted resource to our financial advisors throughout the entire public offering process. We provide timely market updates, issuer interface and guidance all the way through to issuance of securities.

Private Shares

National’s Private Shares platform allows clients access to exciting, innovative private companies pre-IPO. Many private companies, especially those in Silicon Valley, limit their shareholder count and typically require a large initial investment. This prevents most investors from investing in many of these companies until they go public. National’s clients have enjoyed pre-IPO investment opportunities with companies such as:

A Formula for Success

Our investment structure, which uses private funds to hold shares of these companies, takes up only one slot in the company’s capitalization tables, and allows our clients to invest in the companies by purchasing membership interests in the funds at lower dollar amounts.

If the company goes public, the fund may liquidate the position or distribute the shares to members, depending upon market conditions and valuation of the investment.

National’s Private Shares team targets well known, Venture Capital Backed companies, that we anticipate are within 24 months of an Initial Public Offering.


National works with many of the top plan providers, record-keepers and TPAs to provide you access to the right programs and investment options to serve the qualified and non-qualified retirement plan marketplace.

We will help you find the right solution for the businesses you work with, regardless of the plan size. Our partners provide support throughout the plan life-cycle, from plan design and proposal, to investment selection and enrollment, through the ongoing maintenance.

We offer a full range of retirement plans including:

Defined Contribution Plans

  • 401(k) plans
  • 403(b) Plans
  • 457
  • SEPs
  • Hybrid Plans

Defined Benefit Plans

  • Traditional DB Plans
  • Cash Balance Plans
  • Solo DB Plans

Fee-Based Retirement Consulting

In addition to the powerful lineup of partners and in-house expertise, National provides the framework to take a truly consultative role with your plans. Through the National Retirement Plan Consulting agreement, you can enter into a flat-fee arrangement with plan sponsors, allowing you to provide the unbiased advice and guidance your clients seek in this space.

Raise and Retain Client Assets with Banking and Lending Services at National

National offers a range of banking and lending offerings to benefit your clients while helping you build stronger relationships and increase assets under management.

Our partnerships with US Bank and Fidelity help us empower you with competitive banking and lending products, including:

Cash Management

With the ​Premier Access Account​ , your clients can access cash management services to complement their brokerage account and provide a single place through which they do their banking and investments. ​Premier Access Accounts​ have, on average, over four times the assets as that of regular, taxable brokerage accounts*– creating an opportunity for you to grow wallet share. The ​Premier Access Accoun​t also provides banking services, including:

  • A ​Premier Rewards Visa Debit Card​ , featuring 1% cash back and unlimited ATM transactions
  • Checking with unlimited check reorders
  • ACH Direct Deposit/Debit
  • Bill Pay
  • P2P payment through third party providers such as Venmo and Paypal

This account’s annual $100 fee can be offset when clients spend $10,000 on their ​Premier Rewards Visa Debit Card. For more details and support, please call the National Service Team.

Lending Products

When your clients need a loan, you can assist them via our partnership with US Bank. From Mortgages to Home Equity Lines of Credit to Securities Based Lending, US Bank will be your partner in servicing your clients and ensuring you are informed and involved as much as you’d like to be.

To learn more about US Bank’s lending capabilities, contact your regional relationship manager indicated in ​this sales map​.

New Online Securities Based Loan Platform– Fully Integrated with Wealthscape

Securities Based Loans (SBLs)** – also known as non-purpose loans – are sought after by high-net worth clients who would prefer to borrow against their non-qualified assets than liquidate their holdings.

You can offer your clients access to these lines of credit to use at their discretion for anything except purchasing more securities or reducing margin balance(s). US Bank’s Flexible Capital Platform provides a paperless SBL application process for you and your clients that is fully integrated with Wealthscape. Through the platform, you will be able to create illustrations with the most up to date interest rate schedule. Your client can easily complete and sign their application online.

*Source: Fidelity

**If the client’s available balance is not enough to satisfy a given debit, the Lending Bank(LB) reserves the right to take action as they see fit, including any of the following: (1) decline to honor the debit, which may result in fees (such as a returned check fee) or other consequences for the client (2)​ ​draw on the available balance of another account that the LB holds. It is important to understand that the lending bank has additional choices for resolving unsatisfied obligations. They reserve the right to sell, transfer, or otherwise use any assets or other property in which the client has an interest — either currently or at any other time — to discharge any obligations they may have to the LB (including unmatured and contingent obligations), and to do so without further notice or demand. For example, if they bought securities but not paid for them, the LB may sell them and use the proceeds to settle the purchase.

Call us at 800-832-6084 to begin a dialogue around transitioning your practice to National today.
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