Expand Your Options and Grow Your Business

Open the doors to more investment options for clients and prospects looking for new opportunities. Mainstar Trust can help you provide your clients with the alternative investment options to diversify and expand their investments on a tax-advantaged basis.

At Mainstar Trust, we offer:

Compliance knowledge
Prohibited transactions, transfers, rollovers, UBTI, and related services

Account flexibility
Custody asset management including retirement, small business, taxable, and deposit accounts

Alternative investment experts
Documents geared to investor needs for tracking financial assets

Learn more about how our team of investment advisors partners with financial advisors like you for a comprehensive approach to financial planning.

Rely on the Compliance Experts

The rules for financial institutions moving tax-qualified money are complex. Our advisory firm of broker-dealers understands how to buy, sell, and hold alternative investments in the retirement savings market. We can handle fiduciary transfers and rollovers for you and provide exchange commission compliance assistance on Required Minimum Distributions (RMDs), tax reporting, prohibited transactions, and UBTI.

We Make It Easy

We know how to make partnering easy and seamless so you can continue to provide outstanding service to your clients. With Mainstar Trust, you’ll have:

Simple, online account establishment for shareholder investment services

Expert brokerage and convenient depository services for a wide variety of financial products (mutual funds, money market accounts, etc.) and a range of services including valuation and trade execution

A single custodian to hold assets designed to meet multiple investment objectives for effective, streamlined portfolio management

Concise recordkeeping with a consolidated view of each client’s assets, liquidity, transactions, statements, and balance sheets on our client access portal

Multiple fee payment options including check, credit card, or account deductions

Competitive annual account and asset under management (AUM) fees with no market value charges for financial services

Data integration with key providers such as Orion, eMoney, DST FAN Mail, DTCC, and others

Access to a guaranteed FDIC-insured trust company with a successful history of custodial accounts

Guidance for pricing, securities lending, stock splits, and mergers from a trusted partner

SEE A LIST OF MAINSTAR TRUST FINANCIAL ADVISOR FEES

Getting Started

Review the sponsored products you support with Mainstar Trust to ensure the assets are available on the Mainstar Trust investment management platform. Preapproval of sponsored products ensures your client has the best possible experience and minimizes delay.
Assist your client with establishing a Mainstar Trust retirement or taxable account by reviewing and completing the appropriate asset servicing account kit for your client. Within each kit, you will find applicable forms for the Mainstar account application, transfer/rollover, and purchase authorization form needed to transfer the asset in cash or in-kind.