The AP Difference - American Portfolios Financial Services Inc.

We create value for our people and value for our clients.

We always take the high road, even if it costs us in the short term, because we believe the things that make you richest are the things you do for others.

Mantra and Core Values
From the Chairman
The Team
Market Commentary
News
20th Anniversary
Social Responsibility
Careers

Mantra and Core Values

Our Mantra

American Portfolios must seek out the best business solutions, support and services that its financial professionals require to achieve financial freedom for their clients.

Nurture

American Portfolios’ first responsibility is to its valued employees, the men and women working for us, who provide the highest level of service to our customers—our affiliated financial professionals. American Portfolios is committed to providing a clean, safe, and orderly workplace where employees are treated with respect and dignity, and are recognized for the unique and special qualities they bring to their jobs. American Portfolios encourages equal opportunities in employment, development, and advancement. Employees should feel secure in their positions, know they will be compensated fairly and adequately, and feel free to offer suggestions or bring forth concerns.

Launch

Providing optimal service and support to the financial service professionals, their staff, and their clients as well as all others who use our services is one of American Portfolios’ core responsibilities. We must strive to meet our customers’ needs with the highest level of quality and dedicate ourselves to setting the standard of service excellence for our industry.

Give

Fostering positive social and environmental change in the communities where we live and work as well as in the global community is paramount. We must be responsible citizens through our support of good works, honest charities, civic improvements, better health, and education. We must maintain in good order the property we are privileged to use by protecting the environment and its natural resources.

Aim

Shareholder value, our commitment to stockholders, is our final responsibility. Business must make a sound profit. Therefore, we must strive to achieve a balance among the fiscal, social, and environmental responsibilities of our firm, experiment with new ideas and develop new technologies in our efforts to stay ahead of the competition, and create reserves to prepare for adversity. It is our belief that when we operate according to these principles, shareholders will realize a fair return.

From the Chairman

I thank you for the opportunity to introduce our company to you.

A Message from Lon T. Dolber

American Portfolios was conceived by a group of like minded, independent financial service professionals, committed to serving their clients by offering sound financial guidance or planning along with solid investment advice. The firm is owned and operated by individuals who have all worked with clients of their own. I started in the financial services field in 1978 when I was brought into the business by my father Hy Dolber.

As professionals, we will not tolerate or recognize any obligation to market the services or investment products produced by any single company. We understand what it means to seek out and to offer only the best products or services available, without conflict or compromise and this is the same commitment we make to our representatives.

The financial services industry is dynamic and evolving. Barriers have fallen and investors face an almost unlimited and often confusing variety of financial products and investment choices. We believe that financial professionals must have access to a diverse selection of unbiased and high quality investment products and services in order to best meet their client’s objectives.

I thank you for the opportunity to introduce our company to you. We are proud of what has been accomplished thus far and hope that our vision someday may be of benefit to you.

-Lon T. Dolber

The Team

We believe that the success of a company is made possible through the hard earned efforts of its people. By Bringing together the most expert and imaginative people in a culture that embraces technology and the courage to think independently, we create true value in our services, our recommended portfolios and our company.

Core Team

Lon T. Dolber

CEO, CIO and President, American Portfolios Holdings, Inc. (APH), American Portfolios Financial Services, Inc. (APFS)

Lisa DiBella

Vice President of Human Resources, APH

631.439.4600, ext. 280

Dean Bruno

Chief Operating Officer, APFS

Gary Gordon

President of American Portfolios Advisors, Inc., APA

Damon B. Joyner

Chief Financial Officer, APH

Dalchand Laljit

Executive Vice President, Chief Administrative Officer, APH

Steve Krameisen

Chief Information Security Officer

Cliff Walsh

Chief Investment Officer, APA

Craig Vollono

Executive Vice President, Chief Legal Counsel, APH

James D. Goedtke

Senior Vice President, Due Diligence Analyst and Product Manager, APFS

Anne Antunovich

Vice President of Finance and Accounting, APH

Kimberly A. Branch, CFP, CLTC

Vice President of Marketing Strategy, APFS

Philip Bredow

Vice President of Operations, APFS

Andrew Dorfman

Vice President of Technology, APH

Melissa Grappone

Vice President of Marketing and Corporate Communications, APH

Jeffrey Kahn

Vice President of Surveillance, APFS

Martin Wendel

Vice President and Chief Compliance Officer, APFS

Maria Zarb

Vice President of Business Services, APFS

American Portfolios Holdings, Inc. (APH) Board Members

Lon T. Dolber

Chief Executive Officer and Chairman of the Board

Damon B. Joyner

Chief Financial Officer, Director

Dalchand Laljit

Executive Vice President and Chief Administrative Officer, Director

Craig Vollono

Executive Vice President, Chief Legal Counsel and Chief Risk Officer

Tom M. Wirtshafter

Senior Vice President, Director

Atindra Barua

Executive Vice President of Technology Strategy, Director

APH Advisory Board Members

Linda Chan

Hofstra University Adjunct associate Professor

Wendy Ehrlich

Former OppenheimerFunds, Inc. Senior Advisor Consultant and Vice President

Arthur Goldberg

Co-Founder of Integrated Resources Inc.

Jay Lewis

Founder of Nathan & Lewis Securities

Norman Malo

Former President and CEO of National Financial Services, LLC

Paul Tyler

Senior Vice President of Strategy and Corporate Development of Fidelity Guarantee Life

Market Commentary

Keep current on what’s happening in the market and economy: Read commentary from American Portfolios' Chief Investment Officer Cliff Walsh, CFA.

2021

First-Quarter 2021 American Portfolios Quarterly Market Commentary

WE EXPECTED 2021 to offer significantly more impact-producing events than average, driven by the reopening of the economy and new presidential and Senate leadership; so far, we have not been disappointed. Despite some downside volatility that arose in the back end of the quarter, the U.S. equity markets surged higher in the first quarter, fueled […]

American Portfolios Research Report: Investor Behavior Tools to Apply in the Current Market | February 2021

LEGENDARY INVESTOR BENJAMIN Graham once said, “The investor’s chief problem—and even his worst enemy—is likely to be himself.” Financial advisors have it even worse, needing to manage their own biases as well as those of their clients. The equity markets have been turned into a casino game once again with Reddit taking the place of […]

2020

Fourth-Quarter 2020 American Portfolios Quarterly Market Commentary

Fourth-Quarter 2020 American Portfolios Quarterly Market Commentary by Chief Investment Officer Clifford T. Walsh, CFA AFTER AN UNPRECEDENTED 2020, the upcoming year appears to offer a relatively tame outcome, but only because of how much last year deviated from the norm. In our view, 2021 will experience significantly more impact-producing events than most. Not only […]

Third-Quarter 2020 American Portfolios Quarterly Market Commentary

THE ECONOMIC SWINGS that have taken place in the U.S. and globally during the past six months have been nothing short of mind blowing, with a U.S. GDP decline of 31.7 percent in the second quarter and an expected bounce back of at least 20 percent in the third quarter, and perhaps even topping 30 […]

American Portfolios Research Report: Election Outlook | October 2020

THE U.S. ELECTION has taken center stage as the next significant catalyst for risk assets. Given the 2016 upset win by President Trump, followed by the massive equity market rally that lasted through January 2018, we thought it would be interesting and helpful to outline the potential outcomes and risks of the Nov. 3, 2020, […]

Second-Quarter 2020 | American Portfolios Quarterly Market Commentary

THE SECOND QUARTER was another one for the record books. While actual GDP numbers won’t be released until later this month, the results will show the largest decline ever, and by a huge margin. Estimates range from a decline of 35 percent to a decline of more than 50 percent, due to the economic shutdown […]

First-Quarter 2020 | American Portfolios Quarterly Market Commentary

THE FIRST QUARTER of 2020 will be one for the history books. The rise of and response to Coronavirus (COVID-19) left the global economy reeling and fueled the worst first quarter in the U.S. equity markets in more than a hundred years. Not only that, but the S&P 500 also experienced the most rapid decline […]

From the Chief Investment Officer: American Portfolios Market Update | March 2020

Over the past few weeks, we’ve experienced some of the most difficult financial market conditions in history. In fact, you would have to go back to 1929 to find so many volatile swings in such a short period of time.[i] We believe it was warranted, given the economic devastation that comes with shutting down complete […]

News

Great communication comes from transparency. Get the latest.

2021

American Portfolios Named Finalist for Three 2021 WealthManagement.com Industry Awards

The independent broker/dealer formally announces it has qualified as a finalist in the upcoming Wealthies Awards for its leadership, asset management and socially responsible effort.

American Portfolios Celebrates 20 Years of Financial Freedom

The New-York based financial services firm kicks off its year-long anniversary celebration with a look back at its achievements over two decades in operation as a privately held independent broker/dealer.

American Portfolios – 20 Years Independent, But Not Alone

June 10, 2021 It is hard to believe 20 years have passed since a group of us—like-minded in spirit—came together to fulfill a common vision—the belief in creating not just a company, but rather a place filled with innovative and inspired thinking to provide financial service solutions that could better serve the needs of investment […]

American Portfolios Chosen as One of the Best Companies to Work for in New York State for Sixth Year in a Row

HOLBROOK, N.Y. (June 7, 2021)—For the sixth consecutive year, American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—has been named one of the Best Companies to Work for in New York State for 2021 by the New York State Society for Human Resources Management (NYS-SHRM) and the Best […]

American Portfolios to Receive Long Island Business News Corporate Citizenship Award

HOLBROOK, N.Y. (May 17, 2021)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—is pleased to announce that the firm has been recognized by Long Island Business News (LIBN) as part of their awards and recognition program that applauds local business leadership for going above-and-beyond in their dedicated efforts to Corporate […]

American Portfolios Financial Services Sponsors 2021 Virtual Enterprises International Business Plan Competition

HOLBROOK, N.Y. (March 17, 2021) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—sponsored the finals for the 10th annual Virtual Enterprises International (VEI) Long Island Regional Business Plan Competition. VEI is a non-profit organization that offers in-school experiential learning programs for high school students to form […]

Steve Krameisen Promoted to American Portfolios Chief Technology Officer

HOLBROOK, N.Y. (Feb. 24, 2021)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer (IBD) that services financial advisors nationwide—is pleased to formally announce that Steve Krameisen, an industry leader in financial information technology (fintech), has been promoted to Chief Technology Officer (CTO). In July 2020, Krameisen joined AP as Chief Information Security Officer (CISO), directing […]

A Message from American Portfolios CEO Regarding Civil Unrest in Our Nation

January 8, 2021 A Message from American Portfolios CEO Regarding Civil Unrest in Our Nation: We at American Portfolios (AP) are deeply saddened and extremely disturbed by the deplorable events that took place at the U.S. Capitol on Jan. 6, 2021. We strongly condemn the actions of those who incited and carried out a series […]

2020

American Portfolios Announces Funding Commitment to Benefit The Butterfly Effect Project

HOLBROOK, N.Y. (Dec. 28, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—announces that it has established a four-year funding commitment to benefit The Butterfly Effect Project (BEP), a Long Island, N.Y.-based non-profit organization that helps broaden the horizons of school-aged girls by eliminating obstacles such as mobility, cultural differences […]

American Portfolios Announces Technology Expansion with the Addition of Xtiva Intel and Upgrade to Xtiva Reward

HOLBROOK, N.Y. (Dec. 22, 2020)—American Portfolios Holdings, Inc. (APH), for the benefit of its related broker/dealer and registered investment advisor entities—American Portfolios Financial Services, Inc. (APFS) and American Portfolios Advisors, Inc. (APA), respectively—has made a major new commitment to Xtiva, the only provider of sales performance management technology and services exclusively for the financial services […]

American Portfolios Donates $50,000 to Support Westhampton Beach Performing Arts Center

HOLBROOK, N.Y. (Dec. 2, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—formally announces the recent donation of $50,000 in general operating funding to the Westhampton Beach Performing Arts Center (WHBPAC), a leader in live performing arts on Long Island, New York. This charitable contribution, made possible through […]

American Portfolios Sponsors and Provides Thought Leadership to Annual Financial Planning Association Symposium

HOLBROOK, N.Y. (Nov. 24, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—recently sponsored the Financial Planning Association of Long Island’s (FPA-LI) 2020 Virtual Symposium, also providing thought leadership in the area of information security and multi-media support for the event programming. The FPA-LI 2020 Virtual Symposium, “Surviving […]

American Portfolios Financial Services Named One of the Top Long Island Workplaces for 2020 by Newsday

HOLBROOK, N.Y. (Nov. 23, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—has been named one of the Top Long Island Workplaces for 2020 by Newsday. Among the 82 Long Island-based companies recognized, AP ranked No. 7 in the category of small employers with 50-149 workers. “American Portfolios is extremely […]

American Portfolios Financial Services Hosts First-Ever Virtual National Conference to Much Acclaim

HOLBROOK, N.Y. (Nov. 9, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—hosted its first-ever virtual national conference, Connections 2020, with praiseful feedback from attendees. As a business solutions provider serving approximately 860 affiliated investment professionals throughout the United States, the three-day interactive, Web-based forum held Oct. 21 – 23 […]

American Portfolios’ Nine Points Investment Management Introduces ThemeCatcher ETF Strategy, a Quantitative Tactical Portfolio

HOLBROOK, N.Y. (Oct. 14, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—has introduced the ThemeCatcher ETF strategy, a new quantitative tactical portfolio offered by the firm’s registered investment advisor (RIA), American Portfolios Advisors, Inc. (APA) through Nine Points Investment Management (NPIM), an exclusive asset manager and fund […]

American Portfolios’ Studio 454 Wins 2020 Videographer Award of Distinction

HOLBROOK, N.Y. (Oct. 6, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—is pleased to announce that the firm’s media production arm, Studio 454, has won a 2020 Videographer Award of Distinction in the category of “Web-Based Video Production: Marketing.” Additionally, AP was also given an […]

American Portfolios Wins WealthManagement.com 2020 Industry Award for its Practice Management Solution, Virtual Administrative Services

HOLBROOK, N.Y. (Sept. 29, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—is the recipient of a 2020 Annual WealthManagement.com Industry Award (Wealthies) in the category of Broker-Dealers (Fewer than 1,000 Advisors) – Service for its Virtual Administrative Services (VAS) practice management solution. On Sept. 10, WealthManagement.com announced the Wealthies […]

American Portfolios Enhances AP Advisory Platform Via Strategic Partnership with SMArtX Advisory Solutions

HOLBROOK, N.Y. (Sept. 22, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—announces a strategic new partnership with SMArtX Advisory Solutions (SMArtX), a leading innovator in unified managed accounts (UMA) technology and architect of the SMArtX turnkey asset management platform (TAMP). SMArtX’s unique brand of fintech […]

America Portfolios Hosts Students from Across the Nation in First-Ever Virtual Enterprises International Remote Internship

HOLBROOK, N.Y. (Sept. 16, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—recently wrapped up its 2020 AP-VEI Internship Fellows Program, which aids the development of the next generation’s workforce. AP hosted participants of Virtual Enterprises International (VEI), a renowned, educational non-profit offering in-school experiential learning […]

American Portfolios Financial Services, Inc. Named 2020 Broker-Dealer of the Year by Investment Advisor Magazine for the Sixth Year in a Row

HOLBROOK, N.Y. (Sept. 9, 2020)—American Portfolios Financial Services, Inc. (AP), an independent broker/dealer that serves affiliated financial advisors nationwide, is proud to announce that it has been named Broker-Dealer of the Year in 2020 by Investment Advisor magazine for its sixth consecutive year. It was 30 years ago that Investment Advisor magazine’s editorial staff began […]

American Portfolios Ranks No. 3 Medium-Sized Employer in the Best Companies to Work for in New York State for 2020

HOLBROOK, N.Y. (Aug. 18, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—is pleased to formally announce that it has been ranked No. 3 in the category of medium-sized employers in the Best Companies to Work for in New York State for 2020 by the New York State […]

American Portfolios Chosen as a Finalist for Three WealthManagement.com 2020 Industry Awards

HOLBROOK, N.Y. (July 20, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—has been chosen as a finalist in three separate categories of the WealthManagement.com 2020 Industry Awards (“the Wealthies”). A judging panel comprised of financial services industry leaders selected AP within the Broker-Dealers with Fewer than 1,000 Advisors for […]

American Portfolios Subscription-Based Model, Virtual Administrative Services, Sees Upward Trend in Rate of Adoption by Affiliated Financial Advisors

HOLBROOK, N.Y. (July 15, 2020)—After months of beta testing and a well-received initial rollout, American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer—declares its first subscription-based service, Virtual Administrative Services (VAS), a resounding success. The tailor-made practice management solution, which provides administrative assistance to affiliated investment professionals within AP’s national advisor community, is experiencing a […]

Steve Krameisen Joins American Portfolios as Chief Information Security Officer

HOLBROOK, N.Y. (July 7, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer (IBD) that services financial advisors nationwide—is pleased to announce that Steve Krameisen, an industry leader in Financial Information Technology (FinTech), has joined the firm in the capacity of chief information security officer (CISO). “Steve comes to the table with a tremendous amount […]

American Portfolios Announces Two-Year Funding Commitment to Benefit LIFE Arts’ Mission to Foster Ferguson’s Youth and Creative Entrepreneurs

HOLBROOK, N.Y. (June 16, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that provides business solutions and support to financial advisors throughout America—is proud to formally announce its two-year funding commitment to establish the “AP for LIFE” Creative Residency with LIFE Arts, Inc., the non-profit arm of LIFE Creative Group, which is […]

American Portfolios Stands United Against Social Inequality

A Message from American Portfolios’ CEO Regarding Social Inequality: Our country has faced many challenges over the course of its relatively short history, including the most recent series of troubling and sorrowful events. How we respond to trials defines us as a people. While our contributions to society and the world at large have been […]

American Portfolios’ New Business Development Team Launches Virtual 2020 Connections Tour

HOLBROOK, N.Y. (April 28, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer which provides business solutions and support to financial advisors throughout the country—recently launched its Virtual 2020 Connections Tour, a weekly series of Web-hosted events featuring prominent leaders from within the financial services industry. “Despite the many changes that coronavirus (COVID-19) […]

American Portfolios Unveils New and Improved Advisor Dashboard, a Tool Built for Investment Professionals Conducting Fee-Based Business

HOLBROOK, N.Y. (March 31, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer which provides business solutions and support to financial advisors throughout the country—recently unveiled an enhanced update of its proprietary technology tool, Advisor Dashboard, which has been designed primarily for its affiliated investment professionals who conduct fee-based advisory business. “This new […]

Providing Service Excellence at a Time When it’s Needed Most

March 27, 2020 An Important Message from American Portfolios’ CEO: American Portfolios (AP) is working diligently to ensure the uninterrupted operations, support and services by—and for—its employees, affiliated investment professionals and their clients in the midst of this unsettled environment. Deemed an essential business by the Department of Homeland Security, AP will continue to provide […]

Responding to COVID-19: A Message from American Portfolios

An Important Message from American Portfolios’ CEO: Mere weeks in, and 2020 will most certainly be remembered as an unprecedented year. It is times like these when, as corporate leaders, setting an example for attentive and decisive action on behalf of the people it employs and serves has never been more crucial. As the Coronavirus […]

American Portfolios Financial Services Hosts 2020 Virtual Enterprises International Business Plan Competition

HOLBROOK, N.Y. (March 18, 2020) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—hosted the finals for the ninth annual Long Island Virtual Enterprises International (VEI) Business Plan Competition on March 10, 2020. VEI is a non-profit organization that offers in-school experiential learning programs for high school […]

American Portfolios to Formally Present Patchogue Theatre for the Performing Arts with $25,000 Sponsorship Donation During Public Ceremony

HOLBROOK, N.Y. (March 10, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—is pleased to announce that it will present Patchogue Theatre for the Performing Arts (PTPA) with a $25,000 donation during a formal ceremony to recognize the firm’s sponsorship of the not-for-profit arts organization. The event is […]

American Portfolios Produces and Premieres a Short Film Addressing Drug Addiction and the Opioid Crisis to Students at Suffolk and Nassau County Schools

HOLBROOK, N.Y. (Feb. 27, 2020)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—is pleased to spearhead a public service awareness initiative through its production of a short film documentary addressing drug addiction and the opioid crisis on Long Island in New York. The short film entitled “Unspoken, Now […]

Tim O’Grady Promoted to President of American Portfolios Financial Services, Inc.

HOLBROOK, N.Y. (Jan. 30, 2020)—American Portfolios Financial Services, Inc. (AP) is pleased to formally announce that Tim O’Grady has officially assumed the role of president for the privately-held, independent broker/dealer (IBD), serving more than 700 producing investment professionals nationwide. The promotion was informally announced to the firm’s affiliated colleagues this past October at AP’s annual […]

American Portfolios Chosen as One of the Best Companies to Work for in New York State for Fifth Year in a Row

HOLBROOK, N.Y. (Jan. 29, 2020)—For the fifth consecutive year, American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—has been named one of the Best Companies to Work for in New York State for 2020 by the New York State Society for Human Resources Management (NYS-SHRM) and the Best […]

2019

American Portfolios Becomes Proud Corporate Sponsor of Two Non-Profits to Benefit Local Community Arts

HOLBROOK, N.Y. (Dec. 26, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—is proud to announce its corporate sponsorship through the firm’s non-profit arm, American Portfolios Foundation, Inc., to benefit community arts on Long Island, N.Y., and in St. Louis/Ferguson, Mo. Patchogue Theatre and L.I.F.E. Arts, Inc. each […]

American Portfolios Launches BlueDock, a Digital Prospecting Tool for Tying in New Business

HOLBROOK, N.Y. (Dec. 18, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that serves financial professionals nationally—is pleased to announce that it has recently launched BlueDock, a practice management prospecting and back office tool for tying in new business. “It has always been AP’s commitment to provide our affiliated investment professionals with value-added services […]

Industry Leaders Wendy Ehrlich and Linda Chan Appointed to American Portfolios Holdings, Inc. (APH) Board of Directors Advisory Board

HOLBROOK, N.Y. (Dec. 2, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that serves financial professionals nationally—is pleased to announce that it has recently appointed former OppenheimerFunds, Inc. Senior Advisor Consultant and Vice President Wendy Ehrlich, as well as Hofstra University Adjunct Associate Professor Linda Chan, to the American Portfolios Holdings, Inc. (APH) Board […]

American Portfolios Financial Services Named One of the Top Long Island Workplaces for 2019 by Newsday

HOLBROOK, N.Y. (Nov. 5, 2019)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Top Long Island Workplaces for 2019 by Newsday. Among the 83 Long Island-based companies recognized, AP ranked No. 16 in the category of small employers with 50-149 workers. […]

American Portfolios Financial Poised to Host Annual National Conference at Mohegan Sun

HOLBROOK, N.Y. (Oct. 21, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—is poised to host its annual national conference, Connections 2019, at Mohegan Sun in Uncasville, Conn. As a business solutions provider serving approximately 850 affiliated investment professionals throughout the United States, the three-day event, which is set to […]

American Portfolios Assembles its Leading and Influential Investment Professionals at the Firm’s 2019 Leaders Conference

HOLBROOK, N.Y. (Oct. 3, 2019)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, invited its top investment professionals to the 2019 Leaders Conference, held from Sept. 5-8, 2019, in Nashville, Tenn. The conference is the five-time Broker-Dealer of the Year* winner’s unique way of recognizing those investment […]

American Portfolios Financial Services, Inc. Named 2019 Broker-Dealer of the Year by Investment Advisor Magazine for the Fifth Consecutive Year

HOLBROOK, N.Y. (Aug. 28, 2019)—American Portfolios Financial Services, Inc. (AP), an independent broker/dealer that serves affiliated financial advisors nationwide, is proud to announce that it has been named Broker-Dealer of the Year in 2019 by Investment Advisor magazine for its fifth consecutive year. It was 29 years ago that Investment Advisor magazine’s editorial staff began […]

American Portfolios’ Studio 454 Earns 2019 Communicator Award of Distinction

HOLBROOK, N.Y. (Aug. 23, 2019) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors across the country—is pleased to announce that the firm’s media production arm, Studio 454, has earned a 2019 Communicator Award of Distinction in the category of Film/Video: Employee Communication. “We are extremely pleased to be honored […]

Craig A. Vollono, Esq. Joins American Portfolios as EVP and Chief Legal Counsel

HOLBROOK, N.Y. (Aug. 22, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—is pleased to announce that Craig A. Vollono, Esq. has joined the firm in the capacity of executive vice president and chief legal counsel. “As American Portfolios continues to grow, it’s vital that we maintain a strong legal […]

American Portfolios’ Cliff T. Walsh, CFA, RFC, Promoted to Chief Investment Officer

HOLBROOK, N.Y. (Aug. 12, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—is pleased to formally announce that Cliff T. Walsh, CFA, RFC, has been promoted to Chief Investment Officer (CIO). In his role, Walsh will continue to lead and carry forward the investment direction of AP’s Nine Points Investment […]

American Portfolios Named WealthManagement.com 2019 Industry Award Finalist for Enhanced Customer Service Support

HOLBROOK, N.Y. (Aug. 5, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—has been named a WealthManagement.com 2019 Industry Award Finalist for Enhanced Customer Service Support in the category of Broker-Dealers with Fewer than 1,000 Advisors. AP was selected among a record number of submissions (from 262 companies with more […]

American Portfolios Officially Launches 2019 Connections Tour

HOLBROOK, N.Y. (June 17, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—officially launched its 2019 Connections Tour on May 13-14 in Orlando, Fla., at the upscale Marriott Grand Vista hotel. The Florida meeting was followed by two regional events that took place on May 22 at the Hyatt Regency […]

American Portfolios Sponsors and Participates in World T.E.A.M. 2019 Adventure Team Challenge in Conjunction with The Center for Discovery

HOLBROOK, N.Y. (June 10, 2019) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the country—continues its long-standing support of World T.E.A.M. (WT) and The Center for Discovery (TCFD) through its sponsorship and participation in the 10th annual Adventure Team Challenge – New York (ATC). […]

American Portfolios Financial Services Commemorates 75th Anniversaries of D-Day and V-J Day with Reissue of Silent Strength WWII Video Series

HOLBROOK, N.Y. (June 6, 2019)—American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the country—has reissued its Silent Strength online video series, created at its on-site digital media facility, Studio 454, capturing fascinating and impactful stories of Long Island’s WWII veterans and their experiences in one […]

American Portfolios Restructures Sales and New Business Development Team to Better Serve the Firm’s Advisor Community

HOLBROOK, N.Y. (June 5, 2019)—Coasting on the momentum gained from 2018, American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer that services financial advisors nationwide—has restructured its sales and new business development area to better address the needs of its existing and prospective advisor relationships. Since the restructuring in late 2018 and early 2019, AP’s […]

American Portfolios Contributes $25,000 to Honor Flight Long Island and Affiliated Colleagues Accompany Military Veterans to Washington, D.C.

HOLBROOK, N.Y. (May 22, 2019)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has pledged $25,000 in charitable funds over a five-year period to Honor Flight Long Island (HFLI), a local chapter of the national Honor Flight Network—a non-profit organization that provides military veterans with free trips […]

American Portfolios Serves as Presenting Partner and Top Fundraiser for the World T.E.A.M. 2019 Face of America – Gettysburg Bike Ride

HOLBROOK, N.Y. (May 15, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, recently served as Presenting Partner for the World T.E.A.M. (WT) 2019 Face of America – Gettysburg (FOA) bike ride, which took place on May 3-5, 2019. This year […]

American Portfolios Places in Top 5 Medium Best Companies to Work for in New York State for 2019

HOLBROOK, N.Y. (May 8, 2019)—For the fourth consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been ranked within the top Best Companies to Work for in New York State for 2019 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

American Portfolios Gears Up as Presenting Partner for the World T.E.A.M. 2019 Face of America Gettysburg Bike Ride

HOLBROOK, N.Y. (April 22, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, will serve as Presenting Partner for the World T.E.A.M. (WT) 2019 Face of America – Gettysburg (FOA) bike ride, set to take place on May 3-5, 2019. WT […]

American Portfolios Financial Services Hosts 2019 Virtual Enterprises International Business Plan Competition

HOLBROOK, N.Y. (March 11, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, hosted the finals for the eighth annual Long Island Virtual Enterprises International (VEI) Business Plan Competition on Feb. 26, 2019. VEI is a non-profit organization that offers in-school experiential learning programs for […]

American Portfolios Assistive Technology Lab Officially Opens at The Center for Discovery’s Technology Hub and Incubator

HOLBROOK, N.Y. (Jan. 23, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, is pleased to announce the official opening of the American Portfolios Assistive Technology Lab at The Center for Discovery’s (TCFD) Technology Hub and Incubator (THINC). A ribbon cutting ceremony for the next-generation […]

American Portfolios Chosen as One of the Best Companies to Work for in New York State for Fourth Year in a Row

HOLBROOK, N.Y. (Jan. 18, 2019)—For the fourth consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Best Companies to Work for in New York State for 2019 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

American Portfolios Donates $25k to Long Island Cares for Federal Government Employees Affected by the Current Government Shutdown

HOLBROOK, N.Y. (Jan. 18, 2019)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, recently donated $25,000 in support of the Long Island Cares campaign to provide various points of assistance to those federal government employees who have been affected by the current government shutdown. The donated funds, […]

American Portfolios Assistive Technology Lab Opens at the Technology Hub and Incubator (THINC) at The Center for Discovery

American Portfolios Issues Joint Press Release with The Center for Discovery: Dedicated Laboratory for the Development of New Products and Assistive Technologies for All HURLEYVILLE, N.Y. (Jan. 10, 2019) — A next-generation assistive technology lab was officially opened today at The Center for Discovery’s (TCFD) Technology Hub and Incubator (THINC) with the sole purpose of […]

2018

American Portfolios CEO Lon Dolber Named Hometown Hero by NHL’s New York Islanders

HOLBROOK, N.Y. (Dec. 26, 2018)—American Portfolios Financial Services, Inc. (AP) CEO and President Lon T. Dolber has been formally recognized by the NHL’s New York Islanders as a Hometown Hero, a program presented by New York Community Bank and the NYCB Family of Banks that celebrates people who make a difference in their local communities. […]

American Portfolios Launches a Unified Managed Account, Among Other Tech Initiatives, for its Affiliated Investment Professionals

HOLBROOK, N.Y. (Dec. 3, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, recently launched its Unified Managed Account (UMA)—a private investment account that is professionally managed, allowing for a combination of all asset class strategies in one account; investments may include mutual funds, exchange traded funds, […]

American Portfolios’ Studio 454 Earns Two Prominent Industry Awards in 2018

HOLBROOK, N.Y. (Nov. 15, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, is pleased to announce that the firm’s media production arm, Studio 454, has recently earned two prestigious video industry awards: the 2018 Communicator Award of Distinction and the 2018 Videographer Award of […]

American Portfolios Financial Services Hosts Record-Breaking Annual National Conference at Mohegan Sun

HOLBROOK, N.Y. (Nov. 12, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, recently hosted its annual national conference, Connections 2018, at Mohegan Sun in Uncasville, Conn. As a business solutions provider serving approximately 800 affiliated investment professionals throughout the United States, the three-day event, which began […]

American Portfolios Financial Services Named One of the Top Long Island Workplaces for 2018 by Newsday

HOLBROOK, N.Y. (Oct. 31, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Top Long Island Workplaces for 2018 by Newsday. Among the 74 Long Island-based, small- to large-sized companies recognized, AP ranked No. 4 out of 42 small employers with […]

American Portfolios Ascends to Presenting Partner for World T.E.A.M.’s Face of America Cycling Event for Adaptive and Able-Bodied Athletes

HOLBROOK, N.Y. (Oct. 15, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, announced today that it is increasing its support for World T.E.A.M. (WT), a national non-profit organization that brings adaptive and able-bodied athletes together by empowering, enabling and engaging individuals through inclusive athletic events. Through […]

American Portfolios Proudly Participates in 2018 World T.E.A.M. Face of America Liberty Ride

HOLBROOK, N.Y. (Oct. 2, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the United States, continues its long-standing support of World T.E.A.M. (WT) by raising funds and participating in Face of America (FOA) Liberty, a one-day bicycle and hand-cycle ride to honor […]

American Portfolios Assembles its Leading and Influential Investment Professionals at the Firm’s 2018 Leaders Conference

HOLBROOK, N.Y. (Sept. 18, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, invited its top investment professionals to the 2018 Leaders Conference, held from Sept. 6-9, 2018, in Chicago, Ill. The conference is the four-time Broker-Dealer of the Year* winner’s distinctive way of recognizing those investment […]

American Portfolios Financial Services, Inc. Named 2018 Broker-Dealer of the Year by Investment Advisor Magazine Four Years Running

HOLBROOK, N.Y. (Aug. 29, 2018)—American Portfolios Financial Services, Inc. (AP), an independent broker/dealer that serves affiliated financial advisors nationwide, is proud to announce that it has been named Broker/Dealer of the Year in 2018 by Investment Advisor magazine for the fourth year in a row. For the past 28 years, Investment Advisor magazine’s editorial staff […]

American Portfolios Supports World T.E.A.M. by Sponsoring the 2018 Coastal Team Challenge

HOLBROOK, N.Y. (Aug. 28, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, continues its long-standing support of World T.E.A.M.’s (WT) mission to “change lives through sports” by sponsoring the non-profit organization’s Coastal Team Challenge (CTC), a 16-nautical-mile kayak journey that […]

American Portfolios Affiliated Investment Professional Speaks at UN Sustainable Development Forum at the Peace Boat Partnership Expo

HOLBROOK, N.Y. (Aug. 15, 2018) — American Portfolios Financial Services, Inc. (AP) affiliated investment professional, and president and founder of AJF Financial Services, Inc., Andrew J. Friedman recently spoke at a forum on sustainable development at the inaugural Peace Boat Partnership Expo, which took place on July 12, 2018, in Manhattan, N.Y. The expo—which highlights […]

American Portfolios Officially Launches Client-Facing Portal Within its Proprietary Technology Platform

HOLBROOK, N.Y. (Aug. 14, 2018) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer which provides services and support to investment professionals throughout the country—officially launched Client Access, a new investor-focused application on the company’s proprietary technology platform, HomePort. Designed with the express purpose of creating value-added services all around, AP’s affiliated colleagues may […]

American Portfolios Sponsors and Participates in World T.E.A.M. Sports 2018 Adventure Team Challenge in Conjunction with The Center for Discovery

HOLBROOK, N.Y. (June 13, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the country, continues its long-standing support of World T.E.A.M. Sports’ (WTS) and The Center for Discovery (The Center) through its sponsorship and participation in the ninth annual Adventure Team Challenge […]

American Portfolios Places in Top 10 Small Best Companies to Work for in New York State for 2018

HOLBROOK, N.Y. (May 24, 2018)—For the third consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has ranked within the Top 10 Small Best Companies to Work for in New York State for 2018 by the New York State Society for Human Resources Management (NYS-SHRM) […]

American Portfolios CEO Lon T. Dolber Honored at The Center for Discovery’s 2018 Gala

HOLBROOK, N.Y. (May 9, 2018) — American Portfolios Financial Services, Inc. (AP) CEO Lon T. Dolber was formally acknowledged by The Center for Discovery (The Center) as its 2018 Honoree at the non-profit organization’s annual “Evening of Discovery Gala,” which was held May 2, 2018, at Pier Sixty, Chelsea Piers in New York, N.Y, and […]

American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2018 Face of America Bike Ride

HOLBROOK, N.Y. (May 8, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, continues its long-standing support of World T.E.A.M. Sports (WTS) with the 2018 Face of America (FOA) bike ride, which took place April 27-29, 2018. WTS is a non-profit […]

American Portfolios Financial Services Hosts 2018 Virtual Enterprises International Business Plan Competition

HOLBROOK, N.Y. (March 13, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, hosted the finals for the eighth annual Long Island Virtual Enterprises International (VEI) Business Plan Competition on Feb. 28, 2018. Students from nine VEI-participating high schools located throughout Long Island convened at […]

American Portfolios Financial Services Launches 2018 Connections Tour

HOLBROOK, N.Y. (Feb. 22, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors nationwide, has officially launched its 2018 Connections Tour. On Jan. 24, 2018, AP held the first regional meeting in the Connections Tour lineup at its headquarters in Holbrook, N.Y. According to attending affiliated colleagues, focus partners and […]

American Portfolios Chosen as One of the Best Companies to Work for in New York State for Third Year in a Row

HOLBROOK, N.Y. (Jan. 25, 2018)—For the third consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Best Companies to Work for in New York State for 2018 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

2017

American Portfolios CEO Returns Post-Fundraiser to Thame Valley to Witness Rebuilding Efforts After 2015 Nepal Earthquakes

HOLBROOK, N.Y. (Dec. 12, 2017) — Following the earthquakes of April and May 2015, American Portfolios Financial Services, Inc. (AP) CEO Lon T. Dolber pledged to return to Nepal’s Thame Valley to witness first-hand the rebuilding efforts that were made possible thanks, in part, to the privately-held independent broker/dealer’s firm-wide fundraiser. Since 2015, AP has […]

American Portfolios Officially Launches HomePort, a Proprietary Technology Platform for Financial Advisors, Office Support and End Clients

HOLBROOK, N.Y. (Dec. 5, 2017) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides business solutions and support to financial advisors throughout the country, officially launched its proprietary technology platform, HomePort, which has been designed specifically for its affiliated investment professionals and their clients, as well as the firm’s home office […]

Cliff T. Walsh, CFA, Joins American Portfolios Financial Services, Inc.

HOLBROOK, N.Y. (Nov. 30, 2017)—Independent broker/dealer American Portfolios Financial Services, Inc. (AP) is pleased to formally announce that Cliff T. Walsh, CFA, has joined the firm in the capacity of vice president of asset management. In his role, Walsh will lead and carry forward the investment direction of AP’s Nine Points Investment Management (NPIM) portfolios and build […]

American Portfolios Proudly Participates in the World T.E.A.M. Sports Liberty Ride

HOLBROOK, N.Y. (Nov. 28, 2017) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the United States, continues its long-standing support of World T.E.A.M. Sports (WTS) by raising funds and participating in Face of America (FOA) Liberty, a one-day bicycle and hand-cycle ride to […]

American Portfolios Financial Services Hosts 16th Annual National Conference at Mohegan Sun

HOLBROOK, N.Y. (Nov. 3, 2017)—Independent broker/dealer American Portfolios Financial Services, Inc. (AP) recently hosted its annual national conference, Connections 2017, at Mohegan Sun in Uncasville, Conn. As a business solutions provider serving approximately 800 affiliated investment professionals throughout the United States, the three-day event, which began on Oct. 25 and concluded on Oct. 27, provided […]

American Portfolios Launches its Nine Points Investment Management Web Site

HOLBROOK, N.Y. (Oct. 3, 2017) — American Portfolios Financial Services, Inc. (APFS) has officially launched a public-facing, FINRA-approved Web site introducing Nine Points Investment Management (NPIM) to the financial advisor community, as well as to existing and prospective clients. NPIM is the investment management division of American Portfolios Advisors, Inc. (APA), the firm’s registered investment […]

American Portfolios Continues its Support of World T.E.A.M. Sports by Participating in 2017’s Adventure Team Challenge, Coastal Team Challenge and Upcoming Liberty Ride on Oct. 8

HOLBROOK, N.Y. (Sept. 28, 2017) — American Portfolios Financial Services, Inc. (APFS) continues its long-standing support of the World T.E.A.M. Sports (WTS) mission through participation in two events this past summer and an upcoming one this fall on Oct. 8. Following the success of the annual Face of America (FOA) bike ride in April 2017, […]

Damon B. Joyner Joins American Portfolios

HOLBROOK, N.Y. (Sept. 11, 2017) — Damon B. Joyner, financial services executive and business leader, has officially joined American Portfolios Financial Services, Inc.’s (AP) executive management team in the capacity of Chief Financial Officer (CFO). Joyner brings his more than 29 years of financial services industry experience to the privately-held, independent broker-dealer (IBD) that services […]

American Portfolios Addresses SRI through the Launch of its Nine Points Investment Management Impact Portfolios

HOLBROOK, N.Y., Sept. 07, 2017 (GLOBE NEWSWIRE) — American Portfolios Financial Services, Inc. (AP) has added to its long-standing commitment to corporate social responsibility—including its support of non-profit organizations such as World T.E.A.M. Sports, Virtual Enterprises International and The Dome Project—by launching the Nine Points Investment Management (NPIM) Impact Portfolios. Through Socially Responsible Investing (SRI), […]

American Portfolios Financial Services, Inc. Named 2017 Broker-Dealer of the Year by Investment Advisor Magazine for the Third Year in a Row

Holbrook, N.Y., Sept. 05, 2017 (GLOBE NEWSWIRE) — American Portfolios Financial Services, Inc. (AP) is proud to announce that it has been named Broker/Dealer of the Year in 2017 by Investment Advisor magazine for the third year in a row. Each year since 1991, Investment Advisor magazine’s editorial staff have invited registered representatives of independent […]

American Portfolios Senior Executive Brings Thought Leadership Skills to Fifth Graders Through Poetry

HOLBROOK, N.Y.—(Aug. 25, 2017) – Vice President of Marketing & Corporate Communications Melissa Dolber Grappone of American Portfolios Financial Services, Inc. (AP) recently presented 16 fifth grade students at R.D. Seymour School in East Granby, Conn., with their published poetry exchanges, which they co-authored with Grappone and Writer/Health Club Owner Don Foxe just one day […]

American Portfolios’ Studio 454 Earns 2017 Videographer Award of Distinction

HOLBROOK, N.Y. (July 27, 2017) — American Portfolios Financial Services, Inc. (AP) is pleased to announce that the firm’s media production arm, Studio 454, has earned a 2017 Videographer Award of Distinction within the “Web-Based Production/Video for the Web – Event” category. The winning video submission, entitled “American Portfolios National Conference 2016 Recap,” highlights Connections […]

American Portfolios Financial Services Finalizes TrustFort Acquisition to Further Develop its Proprietary Business Technology Platform

HOLBROOK, NY–(Marketwired – June 16, 2017) – American Portfolios (AP) has officially acquired the intellectual property and developmental capabilities of TrustFort, a comprehensive IT solutions provider for the financial industry, in order to foster future strategic business initiatives that will benefit its family of investment professionals. One area within the financial services industry experiencing rapid […]

American Portfolios Assembles its Leading and Influential Investment Professionals at the Firm’s 2017 Leaders Conference

HOLBROOK, NY–(Marketwired – June 06, 2017) – American Portfolios Financial Services, Inc. (APFS) invited its top investment professionals at the 2017 Leaders Conference, held from May 18-21, in Jackson Hole, Wyo. The conference is the firm’s distinctive way of recognizing those advisors and managers who demonstrated exceptional performance in business during 2016.

American Portfolios General Counsel and Affiliated Advisor Conduct Ceremony to Honor Local WWII Veteran

HOLBROOK, NY–(Marketwired – May 10, 2017) – On May 3, 2017, EVP of American Portfolios Holdings, Inc. (APH) and Chief Legal Counsel Frank A. Tauches Jr., and American Portfolios Financial Services, Inc. (APFS) affiliated financial advisor William Donahue, arranged a ceremony to honor local World War II (WWII) military veteran Vincent Robert Long. Long — […]

American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2017 Face of America Bike Ride

HOLBROOK, NY–(Marketwired – May 05, 2017) – American Portfolios Financial Services, Inc. (APFS) continues its long-standing support of World T.E.A.M. Sports with the 2017 Face of America (FOA) bike ride, which took place April 28-30, 2017.

American Portfolios Places in Top 5 Small/Mid-Size Best Companies to Work for in New York for 2017

HOLBROOK, NY–(Marketwired – May 02, 2017) – American Portfolios Financial Services, Inc. (APFS) was recently included in the Top Five Best Small/Mid-Size Companies to Work for in New York. Ranked by the New York State Society for Human Resources Management (NYS-SHRM) and the Best Companies Group (BCG), APFS was ranked among 46 New York businesses […]

American Portfolios Financial Services Introduces FREE — A New Blog Geared Toward Investment Professionals

HOLBROOK, NY–(Marketwired – April 20, 2017) – American Portfolios Financial Services, Inc. (APFS) recently launched FREE — a new blog that is designed specifically for its family of affiliated investment professionals and the financial services industry at large.

American Portfolios Financial Services Officially Launches its 2017 Connections Tour

HOLBROOK, NY–(Marketwired – April 05, 2017) – American Portfolios Financial Services, Inc. (APFS) has officially launched its 2017 Connections Tour. On March 2, 2017, APFS held the first regional meeting in the Connections Tour lineup at its headquarters in Holbrook, N.Y. Attending affiliated colleagues, focus partners and home office staff members concluded that the tour’s […]

American Portfolios Financial Services Hosts 2017 Virtual Enterprises International Business Plan Competition

American Portfolios Chosen as One of the Best Companies to Work for in New York for Second Year in a Row

HOLBROOK, NY–(Marketwired – January 25, 2017) – For the second consecutive year, American Portfolios Financial Services, Inc. (APFS) has been included among an elite group of top employers by being named one of the Best Companies to Work for in New York 2017 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

American Portfolios Promotes Dalchand Laljit to EVP of Business Processes and Organizational Development

HOLBROOK, NY–(Marketwired – January 13, 2017) – American Portfolios Financial Services, Inc. (APFS) has recently promoted Dalchand Laljit to a strategic leadership position as executive vice president of business processes and organizational development.

2016

American Portfolios Deploys Phase Two of E-Sign Functionality Within its Web-Based Business Workflow Process

American Portfolios Financial Services, Inc. Celebrates 15-Year Anniversary at National Conference, Connections 2016

American Portfolios Recognizes Top-Earning Investment Professionals at Firm’s 2016 Honors Conference

American Portfolios Financial Services, Inc. Named 2016 Broker-Dealer of the Year by Investment Advisor Magazine for Two Years Running

American Portfolios Financial Services Sponsors NYIT School of Management Corporate Challenge 2016

American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2016’s Face of America Bike Ride

American Portfolios Holdings, Inc. Appoints TrustFort President and CEO Atindra Barua to Its Board of Directors

American Portfolios Honors Top-Earning Investment Professionals at Firm’s 2016 Leaders Conference

American Portfolios Ranked No. 1 Best Company to Work for in New York for Small/Mid-Size Companies

American Portfolios Financial Services CEO Lon T. Dolber to Be Honored at Virtual Enterprises International 20th Annual Gala

Industry Leader Robert J. Moses Appointed to American Portfolios Holdings, Inc. (APH) Board of Directors Advisory Board

American Portfolios Develops DOL Committee to Address Impending Fiduciary Rule

American Portfolios Launches 2016 Connections Tour With Additional Meetings and Elements to Benefit Financial Advisors

American Portfolios Financial Services Hosts 2016 Virtual Enterprises International Business Plan Competition

American Portfolios Named One of the Best Companies to Work for in New York for 2016

2015

American Portfolios Makes Substantial Strides in 2015 for Advisory Platform and Technology Independence

American Portfolios Rolls Out E-Sign Functionality to Enhance Its Web-Based Business Workflow Process

American Portfolios CEO Lon T. Dolber Elected as Vice Chairman of World T.E.A.M. Sports

American Portfolios Vice President of Marketing Strategy Kimberly A. Branch Aids in Positioning Company for Growth

American Portfolios Appoints Industry Leaders Paul Tyler and Atindra Barua to the Advisory Council for Its Board of Directors

American Portfolios Appoints Industry Leaders Paul Tyler and Atindra Barua to the Advisory Council for Its Board of Directors

American Portfolios Vice President of Service Quality and Process Excellence Dalchand Laljit Aids in Positioning Company for Growth

American Portfolios Connections 2015 National Conference an Overwhelming Success

American Portfolios Financial Services Completes Silent Strength Online WWII Video Series Commemorating 70th Anniversaries of D-Day and V-J Day

American Portfolios Financial Services, Inc. Named 2015 Broker/Dealer of the Year by Investment Advisor Magazine

American Portfolios Supports World T.E.A.M. Sports by 2015’s Face of America and Coastal Team Challenge Events

American Portfolios Financial Services Organizes Interview and Broadcast on News 12 Between World War II Veteran and Japanese Civilian for 70th Anniversary of V-J Day

American Portfolios’ New Relationship Management Team, Led by Keith J. Kelly, Launches Redtail University for Firm’s Financial Advisors

American Portfolios Organizes Fundraiser to Aid Earthquake-Stricken Nepal

American Portfolios Announces Deployment of Its 5-Year Growth Roadmap Charted by EVP and Chief Strategy Officer Edward Morrison

American Portfolios Hosts 2014-15 Long Island VEI Business Plan Competition

2014

American portfolios Financial Services, Inc. is Major Sponsor and Participant in CanAm Veterans Challenge

American Portfolios Financial Services, Inc. Participating in Annual Face of America Bicycle Ride

American Portfolios CEO Lon T. Dolber Attends Client Appreciation Event for Top Producer Theresa Hannon Honoring 30 Years in Financial Services

American Portfolios Financial Services Supports Non-Profit Organization Virtual Enterprises International and the Next Generation of Big Thinkers

American Portfolios CEO Lon T. Dolber Honored at the Thirteenth Annual David Awards

2013

American Portfolios Selects Global Relay for Compliant Message Archiving and Supervision Solution

American Portfolios Announces Promotions for Several Staff Members

American Portfolios Implements Broadridge’s Forefield Suite of Education and Communication Tools for Advisors and Shareholders

American Portfolios Financial Services Appoints Industry Leader Steven E. Rothstein to the Advisory Council for its Board of Directors

2012

American Portfolios Earns Distinction as One of America’s Fastest-Growing Private Companies

American Portfolios CEO Lon T. Dolber Participates in Leg of World Team Sports 2012 Sea to Shining Sea Cross-Country Bike Ride

American Portfolios is Major Sponsor and Participant in 2012 Sea to Shining Sea Cross-Country Bicycle Ride

2011

APFS Pays Tribute to September 11, 2011

American Portfolios Financial Services Rolls Out Social Media Program

Affiliated Colleage Andrew Friedman Awarded for Involvement with the Sean Kimerling Testicular Cancer Foundation

Socialware Interviews Lon T. Dolber on Future of Social Media in Financial Services

American Portfolios Financial Services Invites Seven Influential Keynote Speakers to Connections 2011

American Portfolios Financial Services Participates in the Second Annual Frost Valley Adventure TEAM Challenge

Affiliated Colleague Bill Donahue Escorts World War II Veteran to D.C.

American Portfolios Financial Services Participates in Annual Kidney Walk

American Portfolios Featured in Wall Street and Technology Magazine for Embracing Cloud Computing

American Portfolios Financial Services a Driving Force in 2011 Face of America Bike Ride

Future Business Leaders of America Invites APFS to Speak

CEO Lon T. Dolber Featured in Investement News for Inspiring Courage and Community Involvement

American Portfolios Schedules 2011 Assistants Day

American Portfolios Financial Services Introduces Advisors4Advisors

20th Anniversary

American Portfolios celebrates its 20th year as a privately-held, full-service independent broker/dealer.

#20YearsIndependent

American Portfolios Celebrates 20 Years of Financial Freedom

American Portfolios – 20 Years Independent, But Not Alone

Social Responsibility

Our Promise

We promise to always act with integrity, never sacrificing our advisor's or client's interests for the sake of our own. We hold ourselves responsible not only to our customers, but also to our communities.

Virtual Enterprises International (VEI)

VEI is a non-profit organization that offers in-school experiential learning programs for high school students to form entrepreneurial, start-up businesses within a live global simulated setting. APFS has been a fervent supporter of VEI’s mission to foster future business leaders early in their academic careers. APFS has been involved in the judging and sponsorship of VEI’s local student competitions, providing them with the backdrop of a true corporate experience. AP Also provides mentorship and internship opportunities for the entire VEI network, connecting them to its affiliated financial professionals located in more than 300 branches throughout the nation.

World T.E.A.M.

World T.E.A.M. (The Exceptional Athlete Matters) creates and organizes inclusive athletic events with teams of disabled and able-bodied athletes that challenge them to accomplish goals they never thought possible. American Portfolios is an active supporter of World T.E.A.M.; our employees, affiliated advisors and business partners have been participating in events and raising money for this non-profit organization since 2006.

The Center for Discovery

The Center for Discovery (TCFD) is a leading provider of health care and education services for more than 1,200 children and adults with complex conditions, medical frailties and Autism Spectrum Disorders. TCFD has long been a leader in developing new models of care for individuals with complex conditions. Deeply focused on an individual’s personal potential and possibilities, rather than a disability, TCFD strives to create better care and unique and challenging opportunities for the most vulnerable populations. American Portfolios is an active supporter of TCFD, through various events including the annual Adventure Team Challenge co-organized by World T.E.A.M. Through the American Portfolios Foundation, Inc., AP established The American Portfolios Assistive Technology Lab, which is focused on the creation of innovative products, cutting-edge technologies and new assistive devices.

Long Island Cares

Founded as the first food bank on Long Island, N.Y., in 1980 by the late singer/songwriter and social activist Harry Chapin, Long Island Cares (LIC) provides nutritional food and support services for a network of more than 580 community-based member agencies, including food pantries, soup kitchens, emergency shelters, child care programs, disability organizations, veterans’ services programs and more. LIC is one of the region’s most comprehensive hunger assistance organizations, serving thousands of individuals and families in need. In 2019, American Portfolios donated $25,000 to aid those Long Island families affected by the government shutdown. The firm's staff members also volunteer their time at LIC's facilities, helping to sort donations ready for distribution to the local community.

The Butterfly Effect Project

The Butterfly Effect Project (BEP Girls) is a nonprofit, community-oriented organization formed to empower young girls by giving them the tools to assist in achieving emotionally stable and self-confident futures, in hopes of bringing forth a generation of women who are strong, independent and knowledgeable. The BEP Girls aspires to ensure that every girl enrolled in the program has a fair chance to broaden their horizons by eliminating obstacles such as mobility, cultural differences and finances. With the help of our local communities, every child can experience diverse activities that help mold and challenge their minds while promoting academic success, hard work and self-confidence. The BEP Girls will provide a safe place for young girls to be free, expressive and successful. American Portfolios is actively involved in various programs lead by the BEP Girls and is a regular contributor tho their cause.

Honor Flight Long Island

Honor Flight Network, of which Honor Flight Long Island (HFLI) is a part, has flown more than 180,000 veterans to Washington D.C. to see their war memorials—at no cost to them. While Honor Flight began as a program solely to honor WWII veterans, many "hubs" are now taking Korean War, Vietnam War and other conflict veterans to the nation’s capital to honor them for their service and sacrifice. HFLI operates on donations from local/regional organizations, businesses and individuals from across Long Island, New York. American Portfolios is a regular contributor to the HFLI organization. Additionally, the firm's media production arm, Studio 454, has produced a documentary video series of first-person accounts by dozens of war veterans who have participated in HFLI. The series serves as an ongoing archival project to preserve the stories of our local war veterans.

Patchogue Theatre for the Performing Arts

Patchogue Theatre for the Performing Arts (PTPA) is a 501(c)(3) nonprofit arts organization that enriches, educates and entertains a diverse audience by cultivating and showcasing a broad variety of performing artists. PTPA serves as an innovative cultural resource for its community and the Long Island region by collaborating with neighboring organizations and fostering educational opportunities. American Portfolios is a proud sponsor of the PTPA, recently donating $25,000 to support their mission to serve the Long Island community through programming in music, theatre, dance, film and educational programs that reach into area schools.

L.I.F.E. Arts

L.I.F.E. Arts is 501(c)(3) nonprofit that provides artistic resources, opportunities, mentoring and positive experiences to help students develop the qualities and skills they need to live up to their God-given potential. They believe that through the leadership skills and discipline of the arts, the youth of St. Louis can be a driving force, modeling the change that we all so desperately desire to see manifest. American Portfolios is a proud supporter of L.I.F.E. Arts, having donated $25,000 to support their mission and working with them to help them achieve their goals.

Careers

For those who seek freedom of choice, we're the employer of choice.

Working At American Portfolios

Employees at American Portfolios are dedicated, competent individuals who provide the highest level of service to the firm’s affiliated financial representatives, located in hundreds of branch offices throughout the country. Every employee plays a critical role in meeting this fundamental and core commitment. American Portfolios provides a pleasant work environment that encourages collaboration, self-initiating work practices and creative thinking for new ideas and ways of doing business. American Portfolios values and nurtures this relationship; the success of our business depends on it.

Key Benefits

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm? At American Portfolios, we operate in a team-based environment, made up of a diverse group of associates who are passionate, innovative and focused. We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014. It has been named Broker/Dealer of the Year* six straight years in a row from 2015 to 2020 by Investment Advisor magazine; one of the best companies to work for from 2016 to 2020 by the New York State Society for Human Resources Management and the Best Companies Group; and a wealthmanagement.com Industry Award Finalist in multiple categories in 2019 and 2020, as well as a 2020 winner in the service category of B/Ds under 1,000 representatives for its Virtual Administrative Services (VAS) program.**

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

** Wealthmanagement.com Industry Award finalists are selected by a panel of independent judges made up of subject matter experts in the industry. Award is based on support provided to AP’s affiliated people, and does not reflect public customers nor their account performance.

Other Benefits

American Portfolios provides several other amenities to full-time employees through programs for paid-time off, education tuition reimbursement, completion of FINRA securities license bonuses, generous 401(k) match, committee participation and the opportunity to earn awards and recognitions throughout the year.

Video Content Creator and Studio Technician

American Portfolios (AP) is seeking a motivated, full-time individual to join the marketing and communications team in the role of producer/videographer/editor. With a readiness to take on new challenges from day one, this in-house position would be responsible for producing captivating HD video and multimedia content that serves to educate and inform our roster of existing and prospective investment professionals and associates, as well as promote the AP brand.

As the majority of this video content will be shot and edited in our on-site media production facility, Studio 454, qualified candidates must be fluent in all aspects of video production in a live studio environment. These aspects include:

Directing on-camera talent (often multiple talent at the same time)
Conducting multi-camera shoots
Operating HD camcorders (specifically the Sony HXR series)
Configuring professional broadcast studio lighting utilizing DMX control
Shooting green screen with familiarity in properly lighting a green screen and keying it out in post
Running a teleprompter
Mic-ing on-camera talent

This hire will report to AP’s vice president of marketing strategy and work closely with the manager of media production and studio operations, members of the marketing and communications team, and AP’s affiliated colleagues and business partners.

Responsibilities

Work in all phases of digital media production for the firm: creating news and informational programs, training videos, sales and corporate messaging, social media content, community projects, live streaming media, podcasts and more
Work closely with members of marketing and communications on new video production requests, assessing and understanding project details, creative needs, targeted deadlines and feasibility of the effort
Possess a creative eye for aesthetically-positioned and balanced camera shots
Assign studio resources to each project, ensuring the delivery of work is timely and of the best quality
Prep final files for release in a number of formats and through various platforms
Manage project workflow and improve the overall studio process so internal projects are done efficiently and maintain the highest production standards
Work with producer to facilitate communications between Studio 454 and other areas of the firm, managing expectations by providing updates on team volume and bandwidth, and elevating issues to the leadership team when necessary
Maintain and update studio guidelines on a continual basis
Work with IT services for maintenance and improvements of the studio’s server.
Regularly review and evaluate Studio 454’s software services, licensed media vendors, servers and archives
Elevate Studio 454’s visibility, both internally and externally
Provide and present quarterly studio statistical reports on content viewership
Assist with preparing, evaluating and identifying talent for all in-house productions
Collaborate with internal stakeholders and external partners on all asset-size requirements for YouTube, Facebook, Twitter, LinkedIn and Google Ads advertising
Create circumspective visual and audio digital assets—such as lower thirds, transitions, title cards, etc.—consistent with AP’s brand standards
Shoot/edit still photography
Assist in expansion opportunities and budgetary oversight of the studio

Requirements

Ability to take direction based on the goals of the broker/dealer and RIA
Advanced computer application competency skills in Adobe Creative Suite, Microsoft Office, Wrike, 3-D Modeling and Animation, Adobe Premiere, Lightroom, Photoshop and Aftereffects
Possess skills in Salesforce or similar project management software tools
Ability to work independently and anticipate needs, as well as strong collaborative environment skills
Must be detail-oriented, organized and adept at multi-tasking, with ability to work under tight deadlines
Ability to adapt to changing assignments and multiple priorities
Excellent communication skills with the ability to be positive, yet realistic, in assessing the appropriate way to convey a message to target audience

Education and Experience

Bachelor’s degree in digital media production or mass communications
Five-plus years’ studio experience in a creative studio or similar environment
Two-plus years’ managing and leading teams in a fast-paced and cross-functional environment

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY

Summer Intern

American Portfolios (AP) is looking for a summer intern interested in the financial services industry and/or working towards a degree in the business field. Interns gain 10-12 weeks of summer work experience in a variety of capacities. Matriculating business major interns will be required to work 21 hours a week. Job responsibilities will depend upon which department the intern is placed and may encompass several departments. The intern program has been designed to accommodate students in gaining industry-related, valuable, real-life work experience.

Responsibilities

To aid and support various departments of the firm with day-to-day operations and/or special needs.

Requirements

Energetic, highly-motivated individual with a professional demeanor
Effective written and verbal communication skills
Proficiency in Microsoft Suite programs
Strong organizational skills and ability to multi-task.

Education and Experience

High school student or college student obtaining a degree in a business field
Minimum overall GPA of 3.0

Limitations and Disclaimer

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY

Virtual Administrative Services Client Support Associate

American Portfolios (AP) is looking for a client support associate to work in the firm’s Virtual Administrative Services (VAS) program. This individual will aid in answering incoming calls and emails, communicate needs and details of client interactions to investment professionals, prepare for client meetings and perform administrative tasks.

Responsibilities

Answer all incoming client calls into the Virtual Administrative Services (VAS) Client Calls and Emails queue and inform the respective advisor of the call details
Review and respond to client emails received into VAS-subscribed advisors’ inboxes
Prepare all VAS physical mailings
Log all time spent with advisors and their clients into AP Support, powered by Salesforce
Give support in preparation of client meetings for VAS-subscribed advisors
Aid VAS team in performing administrative tasks for VAS-subscribed advisors, including assisting in keeping the AP queues up to date, entering NAFs, opening accounts, updating accounts, filling out paperwork, answering VAS emails, blottering business and communicating with vendors
Act as the subject matter expert on all business processes, as well as all web services platforms
Assist investment professionals in the navigation of AP’s internal and external processes
Solicit and log all requests for technology or process enhancement

Requirements

Go the extra distance to always serve the customer
Possess excellent interpersonal and social skills, as well as a high-energy, positive approach
Ability to understand how a customer does business and effectively deliver training to align within the customer business construct
Possess excessive knowledge of web meeting and e-learning tools/methodologies
Ability to take direction based on the goals of the broker/dealer and RIA
Possess a strong sense of initiative and a self-motivated, self-starter who can work independently and anticipate needs, as well as work well with team members
Must be able to multi-task and work under tight deadlines
Excellent organizational skills and ability to problem solve
Ability to understand and present complex technical information to technical and non-technical audiences
Ability to adapt to changing assignments and multiple priorities
Strong presentation, speaking and writing skills, as well as the ability to communicate information clearly
Proficient in Microsoft Word, Excel, PowerPoint and Outlook
Technically proficient with digital media and web-based communications systems

Education and Experience

Bachelor’s degree (or currently working on one) with a focus in business administration, management, accounting or finance
Two years’ experience in the financial industry required; knowledge of all registrations, account types and investment products, as well as how each security works, preferred
Call center, customer service, training and/or education experience preferred
Knowledge of Salesforce, ETI Quik, Albridge and XTIVA web services preferred

Limitations and Disclaimer

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY

Virtual Administrative Services Specialist

American Portfolios (AP) has an immediate need for a virtual administrative services specialist to perform administrative tasks for advisors enrolled in AP’s Virtual Administrative Services Program. In this role, the individual will perform such tasks as updating accounts, filling out paperwork, answering e-mails and communicating with vendors. Additionally, the individual will provide support for client meetings, act as the subject matter expert on all business processes and Web services platforms, and conduct training sessions.

Responsibilities

Perform administrative tasks for investment professionals enrolled in AP’s Virtual Administrative Services Program (VAS), including assisting in keeping the AP queues up-to-date, entering NAFs, opening accounts, updating accounts, filling out paperwork, answering VAS e-mails, blottering business and communicating with vendors

• Assist investment professionals in the navigation of AP’s internal and external processes

• Provide support in the preparation for client meetings for investment professionals enrolled in the VAS program

• Act as the subject matter expert on all business processes, as well as all Web services platforms

• Conduct on-demand and scheduled training sessions via webinar for new and existing investment professionals and administrative assistants on a multitude of AP platforms

• Actively call investment professionals to follow-up on comprehension of new system updates, including the concierge advisors

• Conduct routine surveys to seek feedback and continuously improve the training process

• Solicit and log all requests for technology or process enhancements

Requirements

Go the extra distance to always serve the customer
Possess excellent interpersonal and social skills, as well as a high-energy, positive approach
Ability to understand how a customer does business and effectively deliver training to align within the customer business construct
Possess excessive knowledge of Web meeting and e-learning tools/methodologies
Ability to take direction based on the goals of the broker/dealer and RIA
Strong sense of initiative and a self-motivated, self-starter who can work independently and anticipate needs, as well as work well with team members
Must be able to multi-task and work under tight deadlines
Excellent organizational skills and ability to problem solve
Ability to understand and present complex technical information to technical and non-technical audiences
Ability to adapt to changing assignments and multiple priorities
Strong presentation, speaking and writing skills, as well as the ability to communicate information clearly
Proficient in Microsoft Word, Excel, PowerPoint and Outlook
Technically proficient with digital media and Web-based communications system

Education and Experience

Bachelor’s degree (or currently working on one) with a focus in business administration, management, accounting or finance
Two years’ experience in the financial industry required; knowledge of all registrations, account types and investment products, as well as how each security works, preferred
Call center, customer service, training and/or education experience preferred
Knowledge of Salesforce, ETI Quik, Albridge and XTIVA web services preferred

Limitations and Disclaimer

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY

Practice Management and Training Consultant

American Portfolios (AP) is looking for an experienced individual to work in the role of practice management and training consultant within the firm’s new business development team. This individual will be expected to ensure the field-force of investment professionals has a thorough understanding of both proprietary and third-party technologies, as well as helping advisors grow their practices by implementing various practice management initiatives.

Responsibilities

Conduct and coordinate on-demand, ad-hoc and scheduled training sessions via phone calls, video conferencing tools, webinars and office visits for new and existing investment professionals, administrative assistants and office support on both internal and third-party technology tools
Act as subject matter expert on all technology-driven business processes and all third-party preferred web services platforms (Redtail, eMoney, Money Guide Pro, etc)
Monitor and report on the effectiveness of education/training programs utilizing Salesforce Call Logs and, where applicable, make the case for external training
Actively call advisors to follow-up on comprehension, implementation, and use of technology trainings and practice management initiatives
Conduct routine surveys to seek feedback and continuously improve the training process
Solicit and log all requests for front-end technology or process enhancement
Solicit and log all practice information and data in Salesforce
Maintain and cultivate existing advisors’ related relationships to further understand individual and team practice needs in-terms of practice management and technology
Establish and maintain product and training contacts at various third-party technology firms
Create, design, implement, and manage daily training plan and calendar for new business development.
Support ad-hoc needs and requests for training by advisors, assistants and office support staff
Create and drive content development and delivery, and determine optimal mediums (ie: videos, podcasts, in-person, virtual) in which to train field
Work with partner organizations to effectively incorporate and combine the best practices of training and coaching programs being used industry-wide
Assess and prioritize the need for material so multiple offices and audiences can leverage training materials
Work closely with various divisions at AP to determine effective, impactful curriculum
Seek feedback on advisor technology needs, and research, suggest and assist in implementing
Remain current in profession, industry and practice management trends
Staff inbound practice management/technology phone queue
Determine technology utilization and needs for individual advisors and practices
Work in conjunction with the various internal departments to ensure firm staff, as well as investment professionals and their staff, are trained on systems
Present at regional/national conferences

Requirements

Go the extra distance to always serve the customer
Possess strong social and interpersonal skills for effectiveness in training diverse mix of personalities, as well as a high-energy, positive approach
Ability to understand how a customer does business and effectively deliver training to align within the customer business construct
Ability to take direction based on the goals of the broker/dealer and RIA
Strong sense of initiative and a self-motivated self-starter who can work independently and anticipate needs, as well as work well with team members
Excellent organizational skills and ability to problem solve
Ability to understand and present complex technical information to technical and non-technical audiences
Ability to adapt to changing assignments and multiple priorities
Strong presentation, speaking and writing skills are essential, as well as the ability to communicate information clearly
Identify, develop, and deliver innovative and creative training materials and methodologies, and supporting documentation for instructor-led, online and blended learning programs
Technical proficiency with digital media and web-based communication systems
Ability to travel 25% of the time

Education and Experience

Bachelor’s degree, preferably with a focus in business administration, management, accounting or finance
Three-plus years’ experience in the financial industry required
Customer service and/or sales desk experience preferred
Financial services knowledge, technology tools and practice management initiatives a plus
Training or education experience preferred
FINRA Series 7 and 66 preferred

Limitations and Disclaimer

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY

Global Chief Compliance Officer

American Portfolios (AP) has an immediate need for a global chief compliance officer. This role is responsible for overseeing the maintenance and accuracy of the firm’s Written Supervisory Procedures; reviewing and interpreting new regulations, and subsequently establishing new procedures for the firm; monitoring regulators’ industry-wide disciplinary actions for risk management; overseeing heightened supervision for associated representatives; and managing regulatory examinations and investigations, among other duties.

Responsibilities

Oversee the maintenance of the Written Supervisory Procedures for the broker/dealer (B/D) and Registered Investment Advisor (RIA) to ensure procedures accurately cover all aspects of the firm’s business, operations, and electronic books and records
Review, interpret and implement new regulations, and establish new procedures compatible with the firm’s business and electronic books and records
Leverage data and analysis, as well as other technology processes, to conduct root cause and trending analyses for compliance risk management purposes
Regularly monitor FINRA, SEC and other regulators’ industry-wide disciplinary actions as a risk management tool
Communicate all policy and procedure changes to associated representatives and advisors, as well as staff
Conduct and certify the annual B/D and RIA supervisory review in accordance with FINRA and SEC to ensure the firm’s supervisory procedures are sufficient and being followed
Conduct the annual compliance meeting covering recent events: new regulations, procedures, investment products, lines of business, complaints and arbitrations, etc.
Establish and oversee heightened supervision for associated representatives, as applicable
Manage regulatory examinations and investigations conducted by FINRA, SEC and state regulators
Manage and oversee the firm’s continuing education to ensure courses are compatible with the firm’s business and new regulations
Participate in the hiring of new representatives by conducting a background review and assisting in determination of whether representative is a fit for the firm’s culture
Oversee branch office exam findings and take action where necessary
Work with legal department in the review and investigation of customer complaints
Participate in various firm risk-based committees and management meetings, as required
Work with the designated AML compliance officer to implement and maintain all mandated AML programs covering both B/D and RIA activities

Requirements

Working knowledge of FINRA, SEC and state securities rules and regulations
Expertise to maximize technological innovations to aid in compliance risk management
Ability to manage a team of compliance professionals
Technical and regulatory knowledge of annuity and life insurance
Strong computer and research skills
Ability to influence executive-level management
Ability to multi-task, organize and prioritize projects
Familiarity with a wide range of investment products and instruments
Proficiency in understanding and applying regulatory trends
Strong communication (writing and verbal) and presentation skills
Ability to think analytically and solve problems

Education and Experience

Bachelor’s degree required; attorney license desired
Current Series 7 and 24, 65 or 66 required; Series 4, 53 and 57 desired
Minimum of 15 years’ experience in broker/dealer and/or RIA compliance
Independent broker/dealer and prior management experience preferred

Limitations and Disclaimer

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY

Customer Service Specialist

American Portfolios (AP) has an immediate need for an customer service specialist within the Advisor Support Center. In this role, the employee is responsible for maintaining the integrity of the advisor support center, which provides immediate, high-quality customer service to all American Portfolios advisors.

Responsibilities

Answer questions from advisors or assistants by phone or electronically
Respond promptly to advisor inquiries
Obtain and evaluate all relevant information to handle inquiries and complaints
Direct requests and unresolved issues to the designated resource through ticketing system
Keep records of customer interactions and transactions through ticketing system
Record details of inquiries, comments and complaints, as well as details of actions executed
Communicate, partner and coordinate with internal departments
Follow up on customer interactions
Compassionate to advisors’ needs
Support and provide superior quality service
Assist with miscellaneous projects related to the department

Requirements

Knowledge of all APFS policies and procedures, as well as all aspects of proprietary systems
Knowledge of basic wealth management operational functions (e.g. transfers, new accounts, money movements)
Proficiency in Microsoft Office
Excellent communication and written skills
Ability to create a strong working relationship with the ASC team, advisors and assistants
Strong interaction with clearing firm on routing brokerage account platform questions
Must be able to work independently to make decisions regarding resolution of issues
Ability to multi-task and handle multiple projects, inquiries and communications with departments on an ongoing basis

Education and Experience

Bachelor’s degree
One to five years of financial industry experience
Call center and customer service experience preferred
Industry and products knowledge preferred
Experience with Pershing LLC’s NetX360 system and Salesforce CRM preferred

Limitations and Disclaimer

* Based on a poll of registered representatives conducted by Investment Advisor magazine. Broker/dealers rated highest by their representatives are awarded “Broker/Dealer (B/D) of the Year.”

APPLY