What We Do

What is a Broker Dealer/Investment Adviser?

As a broker-dealer and registered investment adviser, NPC is responsible for providing access to securities products and investment advisory services through independent Investment Professionals (also called "Registered Representatives" or "Investment Adviser Representatives") who affiliate with us.

In addition, NPC is required to follow the securities and investment advisory laws and regulations put forth by the Financial Industry Regulatory Authority (FINRA), the Securities Exchange Commission (SEC), and individual states, and must ensure that our Investment Professionals and Home Office staff (people who are employed by NPC) adhere to these same rules and regulations.

Once affiliated with NPC, NPC's national network of Investment Professionals are supported by industry-leading technology, exceptional research resources, a proactive, responsive Home Office staff and ongoing education. As a result, NPC's Investment Professionals have the resources they need to help their clients meet their investment and financial planning needs.

Technology and Research

From front office to back office, research to reporting, contact management to time management, NPC Investment Professionals have access to the information, tools and services that they need to help you to realize your financial goals.

To ensure that your NPC Investment Professional can offer you the most appropriate, customized financial plan for your financial situation, he/she has access to the most comprehensive research tools and reports available. These include (but are not limited to) complimentary access to select product comparison and research tools from Morningstar, customizable reports from Standard and Poor's (S&P), resources from FINRA, as well as powerful research components designed specifically by NPC based on feedback from our affiliated Investment Professionals.

NPC Investment Adviser Representatives (IARs) also have access to our proprietary investment advisory platform, allowing them unprecedented flexibility in forming a tailored investment plan for your assets. In addition to a wide variety of investment models available to fit your specific situation, affiliated IARs have the ability to create a new model based on your specific profile and to create relevant, easy-to-use reports modified to fit your preference.


Our product sponsors include some of the finest investment companies available, giving our Investment Professionals a wide range of top-tier investment products to choose from for each client's specific situation. After carefully analyzing your individual investment needs, your Investment Professional may offer you a variety of suitable mutual funds, variable annuities, insurance products, real estate investment trusts (REITs), limited partnerships, stocks and bonds.

In addition, you can always feel comfortable that your trades will be processed efficiently and effectively. NPC partners with Pershing LLC, one of the most highly respected companies in the financial industry, as our clearing firm to execute the trades that your NPC Investment Professional places with us. Pershing LLC is a member of the BNY Securities Group and is a subsidiary of the Bank of New York Mellon Corporation.

Click here to access more information on Pershing LLC's trade execution process. Please note: When entering the name of the broker-dealer, please type "National Planning Corp." The login is not case-sensitive, but the information will not appear if the end period is omitted.

Education & Training

NPC Investment Professionals all adhere to regular Continuing Education course requirements, and attend frequent seminars and annual conferences to increase their understanding of the latest financial trends, regulations, and changes in the industry. In addition, Investment Professionals have access to ongoing formal and informal training on NPC's internal and external technology applications; proprietary tools; investment products; and financial services in order offer you the best possible service and support.