There are many financial resources available on the Internet. You’ve chosen to learn more about the services offered by HD Vest Advisors. We appreciate that – and we want to give you all the information you need to make the right choice in financial services providers. Below, we’ve provided answers to some of the most commonly asked questions about HD Vest Advisors and the products and services they offer.


What services do HD Vest Advisors offer?

HD Vest Advisors can offer you a range of financial services, and many are licensed to provide financial planning that may address many of these 8 Wealth Management Issues®:

  • Investment management
  • Cash flow and debt management
  • Family risk management
  • Retirement planning
  • Education/college planning
  • Legacy and estate planning
  • Business planning
  • Special situations planning


What products do HD Vest Advisors offer?

Subject to appropriate licensing, HD Vest Advisors can provide:

  • Mutual Funds. Our Advisors have access to more than 5,000 different mutual funds, offered by 250 different fund companies.
  • Individual Stocks and Bonds. Advisors can offer individual securities traded on all major exchanges, and can provide a wide array of fixed-income investments, unit investment trusts, foreign securities, ADRs, limited partnerships, options, and more, via a full-service brokerage account.
  • Professional Money Management. HD Vest Advisory ServicesSM, a registered investment adviser, has developed several professional money management programs. This means you have access to a wide selection of notable asset managers handling separate client accounts via a wrap-fee arrangement.
  • Insurance. HD Vest Insurance Agency maintains relationships with more than 60 separate insurance providers who offer fixed and variable annuities, life insurance, disability, and long-term care solutions.

Keep in mind that not all HD Vest Advisors are licensed to offer all products or services. Financial planning and investment advisory services require separate licenses. For additional information ask your Advisor or contact us toll-free at (888) 438-3781.


Does HD Vest provide tax or accounting services?

The HD Vest affiliated companies exclusively provide financial products and services (e.g., stocks, bonds mutual funds, annuities), and do not provide or supervise tax or accounting services. Advisors may provide tax, accounting or other services through their independent outside businesses, but these services are separate and apart from HD Vest.


How do I submit investments made through HD Vest?

All investments in a brokerage or investment advisory account should be made payable to “First Clearing” (HD Vest’s clearing firm). First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company. Investments in mutual funds and annuities should be made payable to the appropriate mutual fund or insurance company sponsoring the product. For each investment you make, you will receive a trade confirmation referencing HD Vest and periodic account statements, directly from First Clearing or the product sponsor. HD Vest Advisors are not permitted to sell securities investments outside of HD Vest, and you should never make investment checks or wire transfers payable to an HD Vest Advisor or his/her independent company. If you have questions about an investment you made, please call us at (866) 218-8206, option 2.


How do HD Vest Advisors get paid?

It depends on the Advisor and the product or service. Some Advisors choose only to provide investment advisory services that provide for a fee-based on assets under management, while others are paid through up-front and/or ongoing commissions on their sales. Subject to appropriate licensing, some Advisors provide both types of solutions. For additional information regarding the differences between commission-based and fee-based accounts, please see HD Vest's disclosure, "Understanding Differences between Commission-based and Fee-based Accounts."


How can I find an HD Vest Advisor?

Call us at (888) 438-3781, or contact us online.


Is there an HD Vest Advisor in my state?

If you live in the United States, then yes! HD Vest has Advisors in all 50 states.


Can I look up an HD Vest Advisor on FINRA’s website?

Yes. Just use this online lookup. FINRA BrokerCheck®


Is there a toll-free number for me to get client service if my Advisor is out of town?

Yes. Just call (888) 438-3781.


Will I have online access to my account?

HD Vest clients who have brokerage accounts can access them through Access Online, a service provided by our clearing firm. Many mutual funds and insurance companies also provide online access for investments held directly by the product sponsor.