Broker Check


We may be a small firm, but we have partnered with some of the giants in the financial services industry.  Below is a partial list of the companies with whom we have aligned, the roles they play and the services they provide.


Pershing, LLC is the custodian of your investment accounts.  A subsidiary of BNY Mellon, they have been a global leader of financial solutions for over 100 years and have over $1 trillion in global client assets.  Pershing is also a member of SIPC, the Securities Investor Protection Corporation – which protects securities customers against fraud, theft and embezzlement – though not against market fluctuation.   More information available at and

Shareholders Services Group (SSG) – provides back office support for all accounts held with Pathway Financial Services, LLC.  Their experienced staff is our liaison with Pershing to ensure that all account applications and transactions are processed smoothly and efficiently.  SSG also offers access to third-party research and technology services necessary for managing a financial planning firm.  Learn more about SSG at

Morningstar, Inc.  is a leading provider of independent investment research in North America, Europe, Australia, and Asia. They provide data on approximately 446,000 investment offerings, including stocks, mutual funds, and similar vehicles, along with real-time global market data on more than 10 million equities, indexes, futures, options, commodities, and precious metals.  At Pathways we rely not only on the objective data and research provided by Morningstar, but utilize their custom reporting software for our clients’ portfolio reports.

Erado is an innovator in electronic communication compliance, providing archiving, security and encryption services to financial professionals worldwide.  We rely on Erado to capture, review, archive and journal all of the electronic and social media content for the firm in compliance with SEC regulations.