2016 Broker-Dealer Transition FAQ’s

Is J. Freeman & Associates, Inc. being bought or sold?


What is a broker-dealer?

Broker-dealers are specialized service companies that are required by FINRA to partner with Financial Advisors, such as J. Freeman & Associates, in order to operate in the securities industry.

What clearing firm will be used?

We will continue to use National Financial Services (NFS).

Will there be any fees to the client?

Any fees charged to your account incurred by the transition will be reimbursed.  In some instances, we may need for you to provide a copy of your final Triad statement to ensure all fees are reimbursed.

Will there be any forms to sign?

Yes.  We will need a few signatures depending on the number of accounts for each client.

How will it affect my accounts?

This will be a seamless transition with little to no affect on your accounts.

Why are we changing broker-dealers?

IAA affords us the opportunity to service our clients to our level of excellence through their advanced technology.

Will you as the client have any taxable events?


Is this transition due to market conditions?