EWM Services

EWM Services

No matter how your financial picture changes, Executive Wealth Management is fully prepared to respond with a wide variety of investment and planning options. 

Our services include:

  • Investment and Retirement Portfolio Management
  • 401k and Retirement Plan Recommendations and Tracking
  • Company Benefit & Risk Management Analysis
    • Insurance, Stock Options and Deferred Compensation
  • Strategic Retirement & Income Planning
    • Featuring our Proprietary Income Projection Model
  • Tax Management Strategies
  • Legacy Planning
    • Comprehensive Estate and Business Succession Planning
    • Charitable Giving Strategies

 

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Executive Wealth Management

Executive Wealth Management is a Registered Investment Advisor with the Securities and Exchange Commission (SEC).

Broker Dealer: Our broker/dealer is INVEST Financial Corporation, a subsidiary of National Planning Holdings, which is an affiliate of Jackson National Life Insurance Company, one of the largest insurance companies in the U.S. INVEST Financial is a full-service broker/dealer that serves Executive Wealth Management’s compliance needs and provides comprehensive product due diligence in helping to ensure that we are protecting you. INVEST Financial Corporation, Member FINRA, SIPC, a Registered Broker Dealer and Registered Investment Advisor, and its affiliated insurance agencies are: Not FDIC or NCUA INSURED, May Lose Value, No Bank or Credit Union Guarantee.

Primary Custodian: Executive Wealth Management uses TD Ameritrade Institutional as our primary custodian. TD Ameritrade has over $445 Billion in assets under custody and provides monthly statements, trade confirmations, tax reporting documents, and online access for clients to view their account(s). Clients have the choice to receive all correspondence via email or have paper copies mailed to them. TD Ameritrade, a member of FINRA and SIPC, is an investment firm with over 5,000 employees and 5.7 million accounts. TD Ameritrade offers a variety of investment and financial tools to their advisors and to their clients. TD Ameritrade Secure Login.

Trading: We utilize Atria Investments (Wealth Advisors), LLC to execute trades on our client’s accounts. Atria Investments is a specialty trading firm located in Charlotte, NC. Their innovative trading algorithm allows us to get best execution on trades on our clients’ behalf and ensures that our models are tracked and rebalanced in accordance with our investment discipline.

Executive Financial Planning: A financial division and insurance general agency of Executive Wealth Management, Executive Financial Planning handles insurance, commission-based investment products, and specialized non-investment fee-based services.

INVEST Financial Corporation, member FINRA/SIPC and affiliated insurance agencies offer securities, advisory services, and certain insurance products.  INVEST is not affiliated with Executive Wealth Management, Fortunatus Investments, 401K GPS, Executive Financial Planning, TD Ameritrade or its affiliates, Atria Investments or its affiliates, or Modestspark or its affiliates.  Advisory services offered through Executive Wealth Management a registered investment advisor.

TD Ameritrade, Inc. is one of the firms that we use to custody our client assets. TD Ameritrade and the other entities named are separate and unaffiliated firms, and are not responsible for each other’s services or policies. TD Ameritrade does not endorse or recommend any advisor and the use of the TD Ameritrade logo does not represent the endorsement or recommendation of any advisor. Brokerage services provided by TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Used with permission.

This website may contain concepts that have legal, accounting and tax implications.  It is not intended to provide legal, accounting, or tax advice.  You may wish to consult an attorney, tax advisor, or accountant regarding your specific situation.  No representations are made as to the accuracy of the information contained herein or any information contained in any link provided herein.

Corporate Information & Fillings

INVEST FINANCIAL CORPORATION'S PRIVACY POLICY

This site is for informational purposes only and is not intended to be a solicitation or offering of a security and;

1. Representatives of a broker-dealer ("BD") or investment advisor ("IA") may only conduct business in a state if the representatives and the BD or IA they represent (a) satisfy the qualification requirements of, and are approved to do business by, the state; or (b) are excluded or exempted from the state's licensure requirements.

2. Representatives of a BD or IA are deemed to conduct business in a state to the extent that they provide individualizes responses to investor inquiries that involve (a) effecting, or attempting to effect, transactions in securities; or (b) rendering personalized investment advice for compensation.

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