Securities Brokerage Services

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Client assets under management

$16,225,601

Clients

10% high-net worth

Advisors

of 5 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Very Low

Average account size

$386,324

About

Securities Brokerage Services is a state-registered investment adviser that serves individual and high-net-worth clients, pension and profit-sharing plans, nonprofit organizations, and business entities; the firm’s four-advisor team reports $16,225,601 in assets under management for 42 advisory clients. It provides fee-based investment advisory services (non-discretionary), consulting for institutional clients such as nonprofits, and one-time financial planning engagements tailored to specific client objectives.

The firm collects detailed client data and risk-tolerance information via a questionnaire and data sessions, makes investment recommendations consistent with client objectives and time horizons, and conducts portfolio reviews at least quarterly. All advisory accounts are managed on a non-discretionary basis (the brochure reports zero discretionary assets) and account custody and trade execution are effected through Pershing via the Cetera broker-dealer relationship.

Distinctive aspects include that every adviser at the firm is also a registered representative of Cetera Advisor Networks and licensed with life insurance companies, so advisers routinely provide both brokerage/insurance products and fee-based advisory services — a dual-role structure that is uncommon among similar teams. The firm limits its advisory services to non-discretionary arrangements, does not accept proxy voting authority for client securities, and maintains an exclusive clearing/custody arrangement through Pershing/Cetera.

Client services

Financial planning Portfolio management

Consulting services to non=profit organizations

Expertise

Retirement income strategy Life insurance needs analysis Business succession planning General estate planning guidance

Occupation focus

Founder/Business Owner Retired

Fee options

Fixed

Financial planning fees range from $450 to $15,000; Consulting services flat fees determined in advance

Percentage

$0 - $1,000,000: 1.0% annually $1,000,001 - $2,500,000: 0.75% annually $2,500,001+: 0.50% annually

Project-based

Consulting services billed at $150 per hour

Other

Fee-only: Financial planning fees range from $450 to $15,000 as a one-time flat fee; Consulting services offered as flat fee or $150/hour

Main office location

Securities Brokerage Services

101 West Main Street #104

Carnegie PA 15106-2427, United States

Number of offices

Most active in

Pennsylvania

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Is not active or affiliated with:

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 412-429-4040

Advisors at this firm

Ralph S

Series 63, Series 65

Carnegie, PA

Securities Brokerage Services

Ralph Servati is a financial advisor with Securities Brokerage Services in Carnegie, PA, holding Series 63 and Series 65 licenses and bringing 37 years of industry experience. He has worked with Cetera Wealth Services, LLC since 2013 and Securities Brokerage Services since 2011. In addition to his advisory role, he operates as an independent insurance agent specializing in fixed annuities, life, accident, health, and long-term care insurance. Securities Brokerage Services is a state-registered investment adviser serving individual and high-net-worth clients, pension and profit-sharing plans, nonprofit organizations, and business entities. The firm offers fee-based, non-discretionary investment advisory services, institutional consulting, and one-time financial planning, managing over $16 million in assets for 42 clients.

Retirement income strategy Life insurance needs analysis Business succession planning General estate planning guidance Founder/Business Owner Retired

Henry K

Series 63, Series 65

Carnegie, PA

Securities Brokerage Services

Henry Kasky is a financial advisor with Securities Brokerage Services in Pittsburgh, PA, holding Series 63 and Series 65 licenses and bringing 38 years of industry experience. He has worked at Cetera Wealth Services, LLC since 2013 and General American Life since 1971. In addition to his advisory role, Kasky is an independent insurance agent with a longstanding involvement in insurance services, including disability, fixed annuities, life, and long-term care products. Securities Brokerage Services is a state-registered investment adviser serving individual and high-net-worth clients, pension and profit-sharing plans, nonprofit organizations, and business entities. The firm offers fee-based, non-discretionary investment advisory services, institutional consulting, and tailored financial planning, managing $16.2 million in assets across 42 clients.

Retirement income strategy Life insurance needs analysis Business succession planning General estate planning guidance Founder/Business Owner Retired

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