PTS BROKERAGE, LLC

Broker-DealerFINRA MemberEst. 2002

Total AUM

$132M

Discretionary

$128M

97% of AUM

Accounts

700

Employees

Advisory reps

Brokerage reps

Firm details

Headquarters: MT LAUREL, New Jersey
CRD number: 119307
Registered since: August 1, 2002
Website: www.ptsbrokerage.com
Custodians: CHARLES SCHWAB & CO., INC., INTERACTIVE BROKERS LLC, ADP BROKER-DEALER, INC., ASCENSUS TRUST
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: Individuals92.94%
HNWI5.92%
Corporations / Businesses1.14%
Services: Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

PTS Brokerage, LLC is an independent broker-dealer and registered advisory firm that serves primarily individual and family clients. The firm combines brokerage and insurance distribution with advisory work that includes financial planning, portfolio management for individuals and small businesses, and selection of third-party advisers. Its owner structure is individual ownership, and the firm has been SEC-registered since 2002. PTS operates with a mixed fee model—percentage-of-AUM, hourly, fixed fees and commissions—which reflects its dual broker-dealer and advisory roles. It is not identified as an active ESG investor and is not organized as a multi-state or pension consultant adviser. Industry affiliations include relationships with other investment advisers and accountants.