Frequently Asked Questions

Why should I choose to affiliate with H.D. Vest?

If you are a tax and accounting professional, we are the partner you need. The support and training H.D. Vest provides is a rare commodity in the broker/dealer industry. As a tax and accounting professional with a busy schedule, support and training are the keys to your success at integrating financial services. Because of our extensive experience partnering with individuals like you, we know what it takes to be successful at implementing financial services into a tax practice. And, as your partner, we will show you how to do it.

I am already in the business; why should I choose H.D. Vest if I am not a tax or accounting professional?

While it is true we specialize in working with tax professionals, that doesn't mean you can't benefit from the support, technology and extensive solutions we offer our Advisors. We are a leader in each of those areas, and regardless of your background we want to partner with you and help you take your business to the next level.

How committed is H.D. Vest to my success?

We understand you, the tax and accounting professional, better than any other firm out there. We have tailored our services and support to best meet the needs of Advisors just like you. Remember, we're only successful when you are. We view our Advisors as partners in this business and, therefore, we are partners in each other's success.

What does H.D. Vest have to lose if I am not successful?

That's a great question, but we look at it differently. We have nothing to gain unless you are successful. Why would we spend so much time and money trying to get you to partner with us unless we were convinced you could do well?

How can I be assured of the quality of the other Advisors affiliated with H.D. Vest?

To ensure that the highest professional standards are associated with H.D. Vest, we conduct an FBI fingerprint and reference check before someone can become affiliated with us. We require each Advisor to pledge in writing to us that they will maintain the highest professional standards, abide by the H.D. Vest Code of Ethics, adhere to all applicable rules and regulations and maintain the appropriate knowledge and skills required to professionally serve their clients.

We continually monitor our Advisors to ensure compliance with applicable rules, regulations and educational requirements to be certain they are conducting themselves professionally.

Wouldn't I be better off associating with a local firm?

No. There is simply no other firm in the country that can support your professional needs like H.D. Vest. Tax and accounting professionals transfer their licenses to us from other firms daily. The reason: Other firms are geared to support stockbrokers and insurance agents; they do not understand your requirements as a tax and accounting professional. No other firm offers you, the tax and accounting professional, support tailored to your needs. We have empirical data based on the research of Tiburon Strategic Advisors (www.taxprobestpractices.com) that proves our training and support produce better results. On average, H.D. Vest Advisors convert more of their existing tax clients to financial planning clients, they gain more assets under management and they produce higher overall revenues than tax and accounting professionals who use other independent broker/dealers or custodial firms.

Having worked with tax and accounting professionals for over 28 years, we know that most questions arise when you're visiting with the client. To get a timely answer, you don't have the luxury of scheduling an appointment with your local broker/dealer — you need to call someone. Our toll-free number is available to you, and you will find H.D. Vest staff on duty and ready to help you from 7:00 a.m. to 7:00 p.m. CST, Monday through Friday, and 9:00 a.m. to 2:00 p.m. on Saturdays. We also maintain extended hours during tax season to make sure you have access to the support you need.