We started Alum Rock Wealth Management July 11th 2011 after almost 30 years working as a broker for a traditional broker/dealer. We left to become Independent. We are Independent in the sense that we chose the location for the office, we own the furniture and equipment, we operate as Alum Rock Wealth Management LLC.and most importantly offer a wider choice of non proprietary investments to review and offer whats best for our clients.

But we still have a broker/dealer in Cambridge Investment Research Inc. A broker-dealer is a company that processes the investment business of affiliated registered representatives. In the United States, a broker-dealer has to be registered with the Financial Industry Regulatory Authority (FINRA) and is responsible for following securities laws. The broker-dealer must also ensure that affiliated rep-advisors are properly licensed, avoid conflicts of interest, demonstrate responsibility, and properly complete and maintain paperwork, as well as follow securities laws. Cambridge was founded in 1981 and has grown to support over 3,000 brokers in all 50 states.