The Investment Hierarchy

Client - Investor

It All Begins with You

As the client, it all begins with you. I’ll work one-to-one with you to understand your financial goals and needs. Then, through a long-term relationship based on personalized, knowledgeable advice, I’ll provide financial solutions in an attempt to help meet your needs at every stage of life. You’ll enjoy the added confidence of knowing that in addition to my professional experience, I am surrounded by the support of other professionals.

Advice & Management

Mark J. Mauro, CPA – A Full Service Financial Firm

Mark J. Mauro, CPA is the entity through which we provide our clients wealth management services in an unbiased environment – where the only factor in our decision making is what is best for you. Our experience, coupled with the extensive resources of The Investment Center, Inc. and Pershing, LLC will allow us to provide you with the best possible guidance and personal service you expect and deserve.

Support & Compliance

The Investment Center, Inc. & IC Advisory Services, Inc.

These firms work behind the scenes to provide back-office support and service regarding the technical and regulatory requirements of handling client accounts. The Investment Center, Inc. is the Broker-Dealer and IC Advisory Services, Inc. is the Registered Investment Advisor. The Investment Center, Inc. is a member of both the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC).

Clearing & Custody

Pershing LLC, A Subsidiary of The Bank of New York Mellon Corporation

General securities transactions are executed and cleared through Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation. Pershing is a member of FINRA, SIPC and NYSE. Since 1939 Pershing has been providing brokerage execution, clearance, data processing and financial products to broker-dealers worldwide – representing approximately 5 million active investors. Please refer to Pershing’s Statement of Financial Condition for additional information (available at www.pershing.com).