National Planning Holdings

Broker/Dealers: 1,000 Advisors or more (Service)

At National Planning Holdings (NPH), our mission is to ensure clients have access to affordable advice from highly-knowledgeable professionals. We believe advice is paramount to a successful retirement and there is no one more qualified to provide this advice than representatives. NPH is one of the nation’s largest networks in the independent broker-dealer space. Through our network of four leading independent broker-dealers – INVEST Financial Corporation (INVEST), Investment Centers of America, Inc. (ICA), National Planning Corporation® (NPC) and SII Investments, Inc.® (SII) – we offer the tools and resources advisors require to meet the needs of their clients.


Technology Solutions Team

Broker-dealers rave about their technology and its features to current and prospective advisors. What most broker-dealers don’t do, however, is provide the local hands- on service and support to help advisors effectively utilize that technology. Thus, large portions of their firm’s technology go unused, minimizing the ability to positively affect an advisor’s practice and positively impact their clients.

In June of 2016 National Planning Holdings (NPH) changed the game on advisor support for technology utilization. NPH built a dedicated Technology Solutions Team consisting of 14 members – 7 stationed locally in the advisor’s territory for hands-on, in -office training and another 7 in the home office for anytime contact and support. This service is offered to help advisors gain more from its firm’s technology and doesn’t cost the advisor anything. The results from this team since their inception are staggering:

· In the 7 months since its launch in 2016, the team hosted 984 meetings with over 2,100 advisors accounting for over 2,000 hours of hands- on training to help advisors better understand the features and capabilities of the firm ’ s technology platform and integrate it in to their practice.

· Year over year, advisors using the firm’s technology increased 37%, so that over 30% of network advisors now use the more advanced features of the firm’s proprietary business analytics and client service tool.

· The Household Segmentation feature on the platform, which provides one-click comparison of AUM and revenue profitability by household, rose more than 5x since the deployment of the Technology Solutions Team.

Category Finalists

Key Business Leader

Steve Dowden

Browse All Finalists