Parkland Securities LLC.

Broker/Dealers: fewer than 1,000 Advisors (Corporate Social Responsibility, Practice Management, Service)

With a caring staff empowered to deliver personal, innovative support, Parkland Securities, LLC. partners with financial advisors committed to enhancing their clients ’ experience in an ethical, trustworthy manner. We provide comprehensive financial planning tools, solutions, and services supporting our representatives ’ efforts in guiding their clients toward financial success.


Support For Our Vets

Each year, Parkland Securities hosts a conference that brings 200-300 financial representatives and sponsors together for a three-day informational meeting. During this conference, Parkland takes the opportunity to support the United States military.

The CEO of Parkland Securities is passionate about the U.S. military and their role in keeping our country safe. Because of that, the Support for our Vets charity evolved. The Support for our Vets program starts with asking conference vendors/sponsors for donations to a silent auction conducted the last conference day. This auction benefits the charity while also benefiting vendors asit promotes and increases traffic to their booths. The auction prizes range from gift cards to Apple TVs…from sponsored tailgating packages to autographed memorabilia. Each sponsor is given the opportunity to bring whatever they would like for auction.

Once the conference begins, representatives make their way to each sponsor booth, bidding and hoping that they will win a new prize, all the while supporting our veteran heroes. In 2016, Parkland chose the Semper Fi Fund as the recipient of those funds, a well-known charity that benefits our veterans and their families by offering physical, mental, and financial support. With the generosity of our representatives and sponsors, as well as a company match, the conference generated $31,614 in charity donations.

With the first year under our belt, and with the help of our generous reps and sponsors, Parkland is excited to continue to grow this charity initiative for years to come.S

Marketing 4 Success

In the small independent broker-dealer industry, many representatives areon their own for marketing solutions. At Parkland Securities, LLC., we wanted to break that mold. The Marketing 4 Success initiative encompass all aspects of marketing. In 2016, Parkland created this system to benefit our representatives’ client relationships by offering free marketing support, including:

A dedicated marketing consultant
Peter Montoya’s Marketing Library
Website, logo, brochure consultation
Marketing Minute newsletter
Digital presentations

Available by phone, our professional marketing consultant also travels to representatives’ offices to help them establish a marketing plan. They discuss the rep’s current marketing, what they would like to improve, and how to implement an effective marketing strategy.

For everyday needs, Parkland provides a semi-monthly marketing newsletter called Marketing Minute (attached), which includes ideas, initiatives, recommendations, practice management solutions, marketing tools, and more. Since our Marketing 4 Success team is a liaison between our reps and third-party vendors, its webpage also showcases discounts that Parkland has negotiated with these vendors.Other resources Marketing 4 Success plans to provide include virtual presentations, regional meetings, and breakout sessions/booths at Parkland’s annual conference allowing representatives to learn new marketing approaches.

Our Marketing 4 Success initiative brings our marketing personnel, practice management team, internal editor & graphic designers, and compliance officers together as a task force. They ensure that each marketing tool is professional and effective…while staying compliant. Because of this unique aspect, we nominate Marketing 4 Success as an innovative initiative for practice management.


Parkland Securities ’ DELIVER program empowers back office employees to take ownership of any situation, receive support from peers and management, and focus on outstanding service to the firm’s representatives. DELIVER stands for Discover, Establish a plan, Lead, Inform, Verify, Execute, an d Review. The firm enhanced its successful DELIVER program over the past year to deeply embed the theory of accountability into the firm ’ s culture.

The DELIVER management team implemented this program firm-wide, training staff on how to take ownership of a situation and seeing it through to resolution. First, the employee discovers, understands, and owns the issue. Next, the employee establishes a plan, communicates next steps, and provides realistic response times to the representative. The employee then leads the information-gathering process, working with peers. Informing management and fully discussing the issue follows. Verifying that all information needed to address the issue has been collected is the next step. The employee then executes an established, approved plan and reports the results to management and the representative. Finally, the employee reviews the process with all parties involved to ensure complete resolution. The entire process is electronically recorded on the firm’s intranet site in real time.

Management acknowledges employees individually for their DELIVER events, and rewards all employees collectively each quarter when the firm reaches its DELIVER goals. These goals gradually increase throughout the year, continually challenging staff to deliver results. The DELIVER program has become ingrained into the Parkland Securities culture, benefiting the firm through improved service to representatives.

Category Finalists

Broker/Dealers: fewer than 1,000 Advisors (Corporate Social Responsibility)

Broker/Dealers: fewer than 1,000 Advisors (Practice Management)

Broker/Dealers: fewer than 1,000 Advisors (Service)

Key Business Leader

Jerry Rydell
Firm Development

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