THEIR INFO:
Depending on your needs and your
investment objectives, you may have
brokerage accounts, advisory accounts or
both. There are important differences
between these types of accounts, and you
should understand them so you choose the
services that are right for you.
ALPHA INVESTMENT MANAGEMENT, LLC is
registered with the SEC as a broker-dealer and an
investment adviser, offering both brokerage and
investment advisory services. Your relationship with
your Wealth Management Consultant, and the
obligations of ALPHA INVESTMENT
MANAGEMENT, LLC, will be different in different
types of accounts.
Brokerage Services
As a broker-dealer, we will work with you to facilitate
the execution of securities transactions on your behalf.
In addition to taking your orders, executing your trades
and providing custody services, we also provide investor
education, investment research, financial tools
(including financial calculators and financial
analyses) and professional, personalized information
about financial products and services, including
recommendations to our brokerage clients about
whether to buy, sell or hold securities. We do not charge
a separate fee for these services because these services are
part of, or “incidental to,” our brokerage services.
When we act as your broker-dealer, we will not have
discretion to buy and sell securities for you. This means
that you will provide approval for each trade before it
is executed and that you, not we, will make individual
buy and sell decisions.