Active investment management’s weekly magazine for fee-based advisors

Steve Romano, CEP, AIF • Edmond, OK
NFA Wealth Management • LPL Financial

Rebecca Foster, AIF • Edmond, OK
NFA Wealth Management • LPL Financial

Steve Romano: I have been a financial advisor with NFA Wealth Management for five years and have served in the financial-services industry for over 30 years. I have seen all kinds of market environments and just about every kind of client situation and challenge you could imagine. I think the foundation of my career has been in building close relationships with clients and focusing on financial and investment planning that is results-based and aligned with a client’s worldview.

I joined NFA for three fundamental reasons: (1) the strength and vision of their management team; (2) the unmatched resources the firm and its third-party partners can offer, especially in the areas of risk management and services for businesses; and (3) their strong values orientation and operating philosophy.

Rebecca Foster: I joined NFA in January 2019 and am very pleased to be working with this outstanding organization. I have worked for 26 years as a financial advisor and have deep experience with both individual and business clients. Like Steve, I was attracted to the firm’s business model. Equally important is the firm’s focus on values, the way they want to work with clients, and the support they provide to their people.

NFA has captured its working philosophy in a statement called “Our Core Beliefs,” which Steve and I share with every client as part of our introduction to the firm and our team. These are paraphrased here.

NFA Wealth Management’s Core Beliefs

Position of strength: We proactively seek new approaches to financial planning and investing.

“Doing it right”: Treating others with respect, courtesy, honesty, fidelity, and sincerity.

Attitude of teamwork: We believe everything is more productive when it is done in collaboration. We seek to leverage expertise and resources on behalf of our clients.

Client-driven commitment: Our success is directly linked to that of our clients. Our high-engagement service model treats every client as a part of our NFA family.

Philosophy of independence: Independence means freedom from single-sourced investment options, leading to stronger plans for our clients.

Culture of trust: We believe trust is the core of every successful relationship … and inspires each of us to do our best work possible.

  • A statement of core beliefs can be an effective part of presentations to prospective clients.
  • A financial firm’s core beliefs can also help attract and retain financial advisors.

Disclosure: Securities offered through LPL Financial, member FINRA & SIPC. Investment advice offered through Strategic Financial Concepts, a registered investment advisor. Strategic Financial Concepts and NFA Wealth Management are separate entities from LPL Financial.

Photography by David McNeese

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