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Strategic Partners

Independence is paramount to Gage-Wiley.  In order to maintain that independence, yet continue to have the resources and technology necessary to stay competitive in the rapidly changing investment environment, we contracted with First Clearing in 1993.  They bring clearing, custodial and reporting services, state of the art technology and trading platforms, as well as significant institutional level research support to our firm and clients.  First Clearing is a trade name used by Wells Fargo Clearing Services, LLC (WFCS), a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.

WFCS is also a member of the Financial Industry Regulatory Authority (FINRA), the Securities Investor Protection Corporation (SIPC), the New York Stock Exchange, the NASDAQ Stock Market, and other regional stock exchanges.  They are one of the nation’s largest national brokerage firms.

When New England Capital established the Strategic Funds Account (a no-load fund management program), we researched institutional custodians and found that First Trust could provide us with wide access to funds, an excellent trading platform and superior personal service, all delivered in a cost effective manner.  In 2008 TD Ameritrade purchased First Trust’s advisory custodial services and now serves as our institutional custodian for Strategic Funds Accounts.  TD Ameritrade is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).  TD Ameritrade is the leading provider of comprehensive brokerage and custody services to more than 4,000 fee-based, independent Registered Investment Advisors (RIAs).

Gage-Wiley is a d/b/a of St. Germain Securities
New England Capital is a d/b/a of St. Germain Investment Management
Securities offered through St. Germain Securities, Inc.   FINRA, SEC, SiPC