Frequently Asked Questions

How Do Attorneys Become Educated Enough To Make Quality Recommendations?

Atlantic Financial does a great deal to simplify and streamline the education process for representatives. This includes assistance with making recommendations and many financial planning tools. Representatives are also encouraged to defer the actual day-to-day investment decisions to qualified experts, such as the many mutual fund companies and money management firms who work with Atlantic Financial and our broker dealer, Cantella & Co. Inc. This relieves the representatives from the responsibility of actually picking individual investments and making judgments about the economy and financial markets.

What Provisions Are Made For Insurance And Liability?

As representatives of Atlantic Financial, insurance for the law firm is covered by a major errors and omissions carrier. It is the same insurance carrier that provides coverage for Atlantic Financial.

Securities in accounts carried by National Financial Services LLC ("NFS") are protected by the Securities Investor Protection Corporation ("SIPC") up to $500,000 (including cash claims limited to $100,000). NFS has arranged for additional insurance protection for cash and securities to supplement its SIPC coverage. This additional protection covers total account net equity in excess of the $500,000/$100,000 coverage provided by SIPC. Neither coverage product against a decline in the market value of securities.

Are There Any Conflicts Of Interest?

Because Atlantic Financial is not bound to any proprietary investments, the investment services offered to law firm clients will be more objective than advice clients are likely to receive elsewhere. Attorneys must disclose that they are being compensated for investment services, and it is advisable that attorneys provide separate billing for legal matters.

What About Objectivity?

Because the law firm has no management ties to any money managers or mutual fund companies, you are able to remain objective in your recommendations. Furthermore, you can serve as an additional buffer between qualified plan trustees and their mutual fund or money management company. This serves to provide companies with a place to turn for problems and assists the plan in compliance with legal issues. Atlantic Financial's broker dealer, Cantella & Co. Inc. has money management firm and mutual fund company associations include nearly all of the nation's leading firms.

What Kind Of Support Can I Expect To Receive?

The law firm will receive the same type of high-quality support that representatives who work as full-time Financial Consultants receive. This support includes training, marketing assistance and assistance in opening and transferring accounts. Support is provided directly from Atlantic Financial, Atlantic Financial's broker dealer, Cantella & Co. Inc., and through the numerous other companies with whom Atlantic Financial is authorized to work. Atlantic Financial will assist in training your firm personnel on such matters as opening accounts, managing transfers and other administrative functions.

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