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Advisory

Guiding you to a better financial future

With a wide range of securities to choose from, our Financial Advisors can help you create an investment portfolio as unique as your financial goals.

Creating an investment portfolio can be complex, especially when you consider all the factors that can affect your portfolio’s performance. At Cathay Wealth Management, our Advisor Program helps you partner with a dedicated Financial Advisor to create a portfolio tailored to your financial needs and goals.

Starting with your future plans, your Financial Advisor works with you to explore your financial goals, time horizon, risk tolerance and how your portfolio aligns with your other investments. This helps your Financial Advisor determine how your short-term milestones and long-term goals fit into your overall investment strategy.

Once your custom portfolio is created, your Financial Advisor continues to monitor its performance, and meets with you regularly to ensure your portfolio supports your financial objectives. As your needs or goals change, your Financial Advisor can update your strategy to ensure you’re comfortable with – and confident in – your investment decisions.

Personalized guidance

Customize a portfolio with your Financial Advisor based on your full financial picture and future goals.

Professional management

Get professional management of your portfolio’s strategy and performance.

Fiduciary responsibility

Feel confident knowing your Financial Advisor is managing your portfolio in your best interests.

Performance-based fees

Pay fees based on how your portfolio is performing on the market.

A true investment partner

Our Advisor Program helps you take greater control of your financial future by offering:

  • Access to a wide range of securities, including mutual funds, equities, bonds, exchange traded funds (ETFs), variable annuities and other sophisticated investment products
  • Allocations customized to your personal needs and goals
  • Investment models managed to your risk tolerance profile
  • Deep investment product research and screening
  • Monthly statements featuring a clear overview of account activity
  • Easy-to-understand quarterly performance reports
  • Access to world-class investment managers and strategists

 


Important Disclosures

Securities offered through Cetera Investment Services LLC (doing insurance business in CA as CGS STC Insurance Agency LLC), member FINRA/SIPC. Advisory services offered through Cetera Investment Advisers LLC and Cetera Advisory Services LLC, registered investment advisers.

Advisory services may only be offered by investment adviser representatives in conjunction with the firm advisory services agreement and disclosure brochure as provided.

Investments are not FDIC/NCUSIF insured; may lose value; are not financial institution guaranteed; are not a deposit; and are not insured by any federal government agency.

Cetera and its firms are under separate ownership from any other named entity.

Since no one investment program is suitable for all types of investors, this information is provided for informational purposes only. We need to review your investment objectives, risk tolerance, and liquidity needs before introducing suitable managers/ investment programs. For tax advice, you should consult your tax professional regarding your particular situation.

Professional money management cannot guarantee that investment strategies will be successful.

Investors should consider the investment objectives, risks and charges, and expenses of the fund carefully before investing. The prospectus contains this and other important information about the fund. Contact your registered representative or the issuing company to obtain a prospectus, which should be read carefully before investing or sending money.

In addition to fees paid for advisory services with respect to your investments in mutual funds, you may pay additional mutual fund internal expenses, including management, trading and marketing fees. Mutual fund expenses, 12(b)-1 service fees, and any deferred sales charges are fully disclosed in the mutual fund prospectus.

Exchange traded funds (ETFs) and mutual funds are sold only by prospectus. Investing in ETFs and mutual funds is subject to risk and potential loss of principal. ETFs incur trading and commission costs similar to stocks and frequent trading can negate the lower cost structure of an ETF. There is no assurance or certainty that any investment or strategy will be successful in meeting its objectives.

Cathay Bank

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