RIA & Brokerage Model

We cater to representatives who know what they want and have the confidence to achieve their goals. Our representatives are all independent, well-focused entrepreneurs. Over 60% of our producing registered representatives are dually registered with an RIA. Most of our dual registrants compliment their fee-based business with a commission-based offering involving general securities, mutual funds, or insurance, giving their clients the flexibility to fit their unique needs.

Aurora’s professional liability policy offers coverage for the independent activities of anyone who is also affiliated as a registered representative with our broker/dealer which saves your practice thousands of dollars in insurance premiums annually.

If you like the hybrid model offering a mix of commission and fee-based services, but you are hesitant to go through the regulatory hassles necessary to register and run your own RIA firm, then take a look at Secure Asset Management, LLC.

Independent Brokerage Model

  • We have over 75 insurance companies and the list is growing all the time to accommodate demands for new innovative insurance products.
  • We permit all traditional life insurance business to be done as an approved outside business activity and we do not take a share of those commission revenues. 
  • Underwriting services are available for even the most complex variable life submissions.
  • Our professional liability policy covers your life and annuity business, so you don’t have to obtain separate coverage.

Forms and Disclosures

Customer Relationship Summary

Privacy Notice

Business Continuity Disclosure Statement

SEC Rule 606

Aurora Securities, Inc. a customer of National Financial Services LLC where National Financial Services LLC provides certain securities clearance services.  Aurora Securities, Inc. does not receive compensation for directing order flow.  Aurora Securities maintains a tri-party clearing arrangement through Maplewood Investments, Inc. 

SEC Rule 606 (Quarterly Report) from National Financial Services LLC is accessible here.

Aurora Securities, Inc. is an independent broker-dealer, an affiliate of Secure Asset Management, LLC., a registered investment adviser firm.  Both entities are designed for entrepreneurial-minded financial services professionals. The spirit of our approach is to provide our clients with a tailored investment approach based on each client’s unique financial objectives.  Securities are offered through Aurora Securities, Member FINRA/SIPC. The Aurora Securities team is headquartered in Troy, Michigan. View our Terms of Use.