With experience as both a successful stockbroker and a hybrid advisor (combination of a stockbroker and Registered Investment Advisor-RIA), and for many years now operating solely as a fiduciary RIA, I have seen all sides of the investment business. I’ve learned that there are a lot of conflicts rooted within my industry.

Because of these conflicts, such as commission driven sales behavior, high/hidden fees, lack of the fiduciary care standard, problematic professional behavior/financial misconduct (documented at www.brokercheck.org for your advisor), below-average returns, poor/nonexistent investment management, and more, our firm elected to do things very differently! 

On April 24th, 1995, I started Spectrum Financial Alliance, ultimately becoming a true fiduciary – free of known conflicts of interest, where our team could make a positive difference in our client’s lives, their financial planning outcomes, and in their bottom-line returns. 

I have always felt that the best individual, or firm, to have managing your money, is someone who has a heart for each client’s situation (and not simply for their own financial gain). This individual/firm should have many decades of experience, the proper educational background, a published and proven record of verifiable investment excellence, long-held certification as a CFP® or CFA, a clean compliance/financial background, and a burning passion for helping others succeed. These characteristics are difficult to find in the investment industry and, at our firm, we have evidenced them for 26 years. 

Tomorrow, we celebrate the 26th anniversary of Spectrum Financial Alliance! Since 1995, we have had the honor of helping our clients build their financial security, grow their assets, provide for their children’s education, and secure their retirement income. As a Registered Investment Advisor, we can state with pride that we ALWAYS put our client’s interests above our own! Every day, our firm is guided by a principle that should always be followed to ensure success and trust – the Golden Rule – “treat others the way you would want to be treated.” 

Today, and every day, we are so thankful for the opportunity to serve each one of our clients. We want to genuinely thank all of you who have put your faith and trust in our firm. Cheers to many more years to come! God bless you all!


C. Kelly Buckley, MBA, CFP® 

#invest #economy #financialplanning #stockmarket

Full listing of all disclosures (bit.ly/3lGX3mM)