2. About Investor Securities Group
Investor Securities Group, Inc. had its start as Investor Securities Company, Inc. back in 1964.
Founded by financial industry pioneer Cabell Birdsong, the independent broker/dealer transitioned into
Investor Securities Group, Inc. (ISG) in late 2012 when the firm moved its accounts and advisors to
Securities America, becoming one of its largest branches. Today, ISG supports over 100 independent
financial professionals who: thrive coast-to-coast; are set up as branch offices and as solo practitioners;
and are located in a variety of office environments. ISG offers a full menu of support services so that
advisors can focus on serving clients, rather than dealing with operational issues and paperwork.
Investor Securities Group is committed to adding value and maintaining the highest standards of in-
tegrity and professionalism in our relationship with our advisors. Through our financial representatives
we offer individualized, unbiased attention to clients, not based upon quotas, goals or broker/dealer
requirements, and treating each client with honor, integrity and dignity.
Collectively, the following principles define our corporate philosophy:
As independent advocates for our advisors, our goal is to be an extra set of eyes and ears for them.
• • • • •
We want to anticipate advisors’ needs and solve problems before they arise.
• • • • •
We work to meet — and then exceed — our advisors’ expectations.
CHRISTOPHER M. HOLLOWAY, President/CEO of Investor Securities Group, Inc.
Christopher M. Holloway is the President and CEO of Investor Securities Group,
Inc., a super branch of Securities America. Chris has a bachelor’s degree from Old
Dominion University with a major in Financial Management. He has a Master of
Business Administration from the same school with a concentration in Manage-
ment Accounting. Chris has been actively engaged in the securities business since
1998, when he headed the compliance and operations departments for a regional
brokerage house. He later became the President and CCO of that firm when it sold
its assets to Securities America.
While working with his previous firm, Chris was the operations manager of a large cap value mutual fund
and assisted in merging that fund into another complex. Chris has worked with individuals, trusts, retire-
ment plans and foundations. He assists representatives inside of their branch with growth and marketing
strategies, product selection, and succession planning. Chris is a life-long resident of Southeastern Virginia
where his family settled due to his father’s military service. He and his wife have a son and daughter.
Chris has the following industry licenses:
• Series 4 Registered Options Principal • Series 7 General Securities Representative
• Series 24 General Securities Principal • Series 27 Financial and Operations Principal
• Series 53 Municipal Principal • Series 55 OTC Equity Trader
• Series 63 Uniform State Law • Series 65 Investment Advisor Representative, and
• Series 99 Back Office Operations. • Life and Annuity
3. Working Together:
Helping You Do What You Do Best
In today’s competitive environment, it’s difficult to find the time to handle current clients and attract
new clients, while still tending to all the demands of an independent financial practice.
Investor Securities Group, Inc. is a full-service Office of Supervisory Jurisdiction (OSJ) firm. In fact,
Securities America, the independent broker/dealer (B/D) who partners with ISG to support our advisors,
considers us a “Super Branch” due to the support capabilities and size of our firm. The team of
professionals at Investor Securities Group can help you with client paperwork, office administration,
compliance and supervision, marketing and prospecting. This means you can spend your time focusing
on what you do best — helping your clients pursue their financial dreams and goals.
Partnering with Investor Securities Group offers a powerful, successful business model.
Your Customized Transition Plan
We have a team of experts who will develop a customized transition plan and create a timeline for
assisting you in moving your client accounts. We will complete all required documents from new
account forms to broker/dealer change paperwork. We are limited only by your current firm’s Privacy
Statement and the protocol between Firms. For some advisors we are able complete every single
document that is needed. Your job is to get the signature, our job is to provide the tools.
During transition, when you provide all required signed documents, we will ensure the process of
entering your client data is a smooth and efficient one. This will allow you to dedicate more of your
valuable time to meeting with your clients and assuring them of the advantages of your transition to
Don’t spend your precious time uploading new account information during transition.
Instead, let us do the heavy lifting for you.
4. In Business FOR Yourself, Not BY Yourself
Professional financial advisors face many challenges in trying to best meet their clients’ needs.
ISG offers you a unique and valuable combination of an experienced branch-level support structure
partnered with a culture of independence.
Investor Securities Group, Inc. is an OSJ firm offering a full menu of services to support your:
• Business operations • Customer service
• Financial planning strategies • Compliance and Supervision
• Business development • Professional growth
We provide a wide range of support services aimed at helping you stay focused on your clients,
minimizing the time and energy you spend on non-revenue producing activities. Our goal is to serve
as your primary point of contact on all business relating to the broker/dealer. We provide the
resources you need to process client business, review investment strategies, and remain compliant
with industry rules and regulations.
ISG’s friendly staff, broad and deep resources, and seasoned experience at supporting advisors can
help you run an efficient, productive and enjoyable practice.
Special Pricing on Rep-as-Advisor Accounts
Investor Securities Group, Inc. was able to retain its investment advisory program from its prior status
as a broker/dealer. Currently, we are the only OSJ within the Securities America system that can
provide a discretionary and non-discretionary “representative as advisor” product custodied at
Pershing, with very low fees. How low can we go? Pershing allowed us to keep Asset Advisor (non-
discretionary) and Private Investment Management (discretionary) at a fee of 17 basis points and
NO TICKET CHARGES. If you are representative as advisor, we do not know of a lower priced program.
5. Experience the Advantages of Joining a Branch
There’s no better time than today to become part of an experienced,
winning team like Investor Securities Group.
The costs associated with technology, compliance and business development continue to rise every
year. Affiliation with an established OSJ firm can help you control these costs and better manage a
state-of-the-art financial services practice.
Like most successful advisors, you’re in this industry because helping your clients’ plan their financial
futures is your passion. The business of running a business can keep you from doing what you do best.
Affiliating with Investor Securities Group’s OSJ firm is a great way for you to access the services of
our B/D while getting local attention and back office support. We want to assist you to:
• Meet the needs of your clients
• Build your practice
• Increase your revenue
An advantage of affiliating with our independent OSJ firm is our flexibility to negotiate payout options.
We want to provide OSJ level pricing to non-OSJ branches in line with OSJ level responsibilities. We will
negotiate a payout structure with you or your producer group that is extremely competitive.
Another advantage to consider with Investor Securities Group is our expertise with succession planning.
If you’re thinking about retiring in a few years you are likely asking yourself “Who can I trust to take
care of my clients and provide me with a fair price for my book?” The ISG team can help you develop
contingency plans for retirement or life’s unexpected events. These plans will address such questions as:
• What happens to my clients?
• How do I leverage my practice to maximize its value?
• How do I find a buyer for my practice?
• How do I set up an income stream?
• How do I set up a business continuation plan?
Note: Payout structures and compensation are provided through the broker/dealer.
6. An Industry-Leading Broker/Dealer
Investor Securities Group works with Securities America as its broker/dealer. Securities America is
based in Omaha, Nebraska, and was founded in 1984. As one of the largest independent general
securities broker/dealers in the nation, Securities America offers a wide range of investment products
and services to advisors. Securities America is a member of the Financial Industry Regulatory Authority
(FINRA) and the Securities Investors Protection Corporation (SIPC).
Securities America Advisors, Inc., the advisory services division of the company, was founded in 1993
and is an SEC Registered Investment Advisor firm.
With over 2,000 independent financial professionals nationwide, everything Securities America does
revolves around helping advisors deliver the best financial products, services and counsel to their
clients. The company’s mission is to help independent advisors provide their clients with quality
financial advice for life.
Securities America’s parent company, Ladenburg Thalmann Financial Services Inc., is engaged in
investment banking, equity research, institutional sales and trading, independent brokerage and
advisory services and asset management services through its principal subsidiaries, Ladenburg
Thalmann & Co. Inc., Investacorp, Inc. and Triad Advisors, Inc. Ladenburg Thalmann & Co. was
founded in 1876 and has been a New York Stock Exchange member since 1879.
The Power of Dual Clearing
Securities America helps ensure your independence as a business person and professional financial advisor
by providing the ability to clear business through two distinct platforms. Securities America has built
strong relationships with National Financial Services, LLC, Member NYSE/SIPC and Pershing, LLC, member
FINRA, NYSE, SIPC, and a subsidiary of The Bank of New York Mellon Corporation. Equally powerful and
equally unique, these two different clearing platforms give you the ability to select which company best
meets your mix of business, your style of doing business and your personal preferences. You can go about
your daily business assured that your practice and the safety of your clients’ assets will not be
negatively impacted by a clearing conversion.
7. Going the Extra Mile to Support Our Advisors
Investor Security Group’s goal as an OSJ is to do more for its advisors and staff than just fulfill
required supervisory and compliance responsibilities. The extras contribute to a strong value-added
culture for our firm. What are these extras? We provide:
• training to members of your administrative staff, either at our office or over the phone
• assistance with the submission and review of advertising and marketing materials
• one-on-one customer service
• supervisory oversight
• due diligence
• a collaborative group environment
• assistance with your strategic plan for growth and expansion
• a solid infrastructure that contributes to your getting paid quicker by providing extra business
review so you have fewer rejections
• regular meetings so you can stay up-to-date on the latest products and enhancements
• more money in your pocket through lowered expenses
• several learning opportunities for CE credits throughout the year
ISG believes in the power of teamwork and helps facilitate advisor’s ability to share ideas, strategies,
questions, challenge and successes. Regardless of geographic location, we help our advisors:
• Share collective wisdom and best practices.
• Exchange ideas and experience.
• Facilitate group problem solving around individual participant business challenges.
• Build relationships.
8. Supporting Independent Financial Advisors Nationwide
If you are an experienced financial advisor looking for the support you need to grow your practice and
the independence to run your business your way, then call Investor Securities Group today. Our ability to
provide service and support is not restricted by an advisor’s geographical location, or by the size of his or
her practice. Don’t miss this opportunity!
ISG-affiliated advisors are located coast-to-coast and operate their businesses from:
• Home-based offices
• Traditional office environments
ISG-affiliated advisors operate their practices as:
• Solo practitioners
• Branch offices with multiple advisors and staff
Call Today and Reap the Rewards
of Proven, Professional Business Support
2484 Pruden Blvd., Suite B • Suffolk, VA 23434
Phone: (757) 809-4708
Fax: (757) 809-4709
Registered Representatives offer securities through Securities America, Inc.,
Member FINRA/SIPC. Investment Advisor Representatives offer Advisor Services
through Securities America Advisors, Inc. Investor Securities Group, Inc. and
Securities America are separate entities.