Colliers Securities LLC

Colliers Securities LLC serves individual and high‑net‑worth clients as well as trusts, estates, retirement plans, charitable organizations and business entities. The firm is registered as both a broker‑dealer and an SEC‑registered investment adviser and provides brokerage, custody and advisory services through non‑discretionary Colliers Director accounts and discretionary wrap programs administered with third‑party managers.

For discretionary wrap accounts, day‑to‑day portfolio management is provided by outside managers (notably Envestnet and Dana) and CS performs due diligence and client profiling to select appropriate managers and allocations. In its non‑discretionary Colliers Director Program, CS makes recommendations while clients retain trade authority; account activity, trade confirmations and custodial reporting are delivered through National Financial Services (NFS) and clients pay program and ticket charges under described fee schedules.

Noteworthy distinctions relative to many peers include active municipal securities and underwriting activity — the brochure discloses municipal underwriting and financial advisory engagements and related regulatory matters involving MSRB reporting and an SEC settlement concerning municipal underwriting due diligence. The firm is part of the Colliers corporate group (including a mortgage holding company and an affiliated insurance agency), reports a larger share of advisory assets as non‑discretionary than discretionary, and discloses broker‑dealer conflicts such as ticket‑charge markups and revenue sharing with its clearing custodian.