Broker Check

Investment Brokerage

Investment Brokerage services are designed to offer maximum flexibility, tailoring, and cost efficiency to a broad spectrum of investor types and investment strategies.

Conceptually, one of the most common ways investment brokerage services are used by investors are in a “core and satellite” investment approach.

In this approach, investors will place a significant portion of their total investments in a diversified, liquid, institutional quality, model portfolio that serves as the "core" investment. In some cases, this core model portfolio might be either an Individual Retirement Account (IRA) or an employer sponsored retirement account such as a 401K, 403b, or TSP account.

Then using an investment brokerage account, investors will house "satellite" investment components that compliment the core model portfolio investment or that might reflect a specific investment view, high conviction idea, opportunity, or theme.



It is common for the core model portfolio to have anywhere from 65% to 100% of investible assets and the complimentary satellite portfolio to have 5% to 35% of investible assets. Specific mixes, allocations, and investment selections depend on each investor’s objectives, family dynamics, upcoming life events, financial disposition, risk tolerance, and other factors.

Most strategies can be executed in either a taxable brokerage account or in a brokerage account inside an Individual Retirement Account, depending on each investor’s profile, objectives, eligibility, and other factors.

Common investment products available inside an investment brokerage account include:

  • Mutual Funds
  • Exchange Traded Funds (ETFs)
  • Exchange Traded Notes (ETN)
  • Common Stocks
  • Preferred Stocks
  • Convertible Stocks
  • Corporate Bonds
  • Municipal Bonds
  • US Treasuries
  • Call & Put Options
  • Index Options
  • Certificates of Deposit (CDs)
  • Market Linked CDs
  • Structured Notes
  • Private Equity Offerings
  • Unit Investment Trusts (UITs)
  • Real Estate Investment Trusts (REITs)
  • Variable Annuities
  • And More ...

Investments in securities do not offer a fix rate of return.


Principal, yield and/or share price will fluctuate with changes in market conditions and, when sold or redeemed, you may receive more or less than originally invested.


No system or financial planning strategy can guarantee future results. 


Therefore, no current or prospective client should assume that future performance or any specific investment, investment strategy or product will be profitable.

Not as common but also available in an investment brokerage account inside an Individual Retirement Account are:

  • Certain precious metals (select bars or coins)

  • Direct residential or commercial real estate property

  • Private stock of an ongoing family or closely held business

We generally do not advise directly on these types of assets but can be hired for financial consulting services to review options, analyze various scenarios, and help identify possible custodians that do offer desired services for specialty holdings or less common situations. The client pays Oz Investing Services (OIS) for these support services then executes the desired strategy with the selected custodian(s) on their own.

The OIS advising model in this area is designed to support investors who are desirous of outsourcing investment management while retaining day to day decisions on what to invest in, or that are looking to execute a particular strategy with active support or guidance from an Advisor.

We can support all investor types but for professional investors or investors that invest in a self- directed/supported manor, OIS is not the best fit or most competitive trading platform in the market.

Please contact us to learn more, ask any questions you may have, or to inquire about our complimentary investment portfolio review service.


Investments in securities do not offer a fix rate of return. Principal, yield and/or share price will fluctuate with changes in market conditions and, when sold or redeemed, you may receive more or less than originally invested.  No system or financial planning strategy can guarantee future results.  Therefore, no current or prospective client should assume that future performance or any specific investment, investment strategy or product will be profitable.

Questions?

If you have any questions or would like to explore potentially working together now or in the future, please contact Oz Investing Services at your convenience. Thank you.

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