Broker Check

March Business Update 2020

Significant Business Disruptions

With people in a spin regarding recent pandemic scares, toilet paper is sold out, large Companies are giving the option to work from home, and Integrated Wealth Management is reviewing it's existing Business Continuity Plan (BCP), which outlines how our organization will continue to serve you during Significant Business Disruptions (SBD’s).

Our plan anticipates two kinds of SBDs, internal and external. Internal SBD’s affect only our branch’s ability to communicate and do business, such as equipment failure, power outage, building fire, or inability of employees to access the office. External SBDs would prevent operations on a regional scale such as an earthquake, severe weather, or pandemic scare as recent situations have indicated. With only 18 people in our office, we do not anticipate this occurring.

In a situation where our office could not be accessed, our policy is to respond first by safeguarding employees’ lives and then making a financial and operational assessment of business systems and resources. Our goal is to quickly recover and resume operations, ensure the security of our client’s information, and allow our customers to transact business as seamlessly as possible. In past tests, our office was back up an running as fast as it took the team to get home and login into their computers. 

In order to do this our team participates in a one time per year test of our BCP. We are able to take calls from clients as usual. All systems are web based and securely accessible from wherever we do business, even hiding PII (personally identifiable information) when operating in public. Going paperless 5 years ago also allows us to access your personal documents when not in the office. LPL Financial, IWM's Broker Dealer, performs many of our back-office and support related functions. In the unlikely event that IWM is temporarily not able to provide service, clients can reach out to LPL Financial for customer service support.

We understand that not having your Financial Advisor available could be a potential SBD for you. Our staff is familiar with all our clients and their particular situations. In the event your Advisor is temporarily unavailable due to illness or vacation, the IWM staff and other Advisors in the office will be able to assist you. In the event of a longer term situation such as disability or death, agreements are in place to continue to provide you excellent service with the same staff and investment strategy used by the Advisors at IWM.

We take your trust seriously and put much thought and planning into your investments as well as the service we provide. Thank you for the confidence you have in us and our future together.


Our team is growing to serve you best

We always want to keep you updated along our firms journey. You have seen our Operations team grow and we do so to serve you best. Hearing a new voice on the other end means that we are expanding our team to keep up with this rapid growth. Kevin has been fortunate to have fantastic clients and find amazing team members to serve them well.

TEAM FOCUS

Crystal Cervantes

Crystal is likely the first person you will reach when calling into our office and can help you personally or direct you to the person who can. She manages the scheduling for all of our clients and helps our office run smoothly.

Lori Weeks

As Operations Manger, Lori helps to put processes in place and to streamline the customer experience. With her attention to detail she handles many complex client situations.

Jeannie Ackerman

Jeannie provides advisor support directly to Kevin Swanson, helping to navigate those client's needs and making sure that our team carries our processes seamlessly. 

Nicole Morris

Nicole Morris manages business operations for Integrated Wealth Management. While you will still hear her voice on the phone helping clients, her role today is helping Kevin lead the growth of the IWM Team.

Adam Roberts

Adam assists clients operationally with a goal to bring transparency and clarity between you and your advisor. His attention to detail and quick problem solving is essential in making every client’s experience as efficient and seamless as possible.

Emily Brillo

Emily Brillo has helped our office off an on over the past few years to bear the load when our team are on extended vacations. With over 15 years experience in the industry, and with working directly for LPL Financial, she helps our clients with the highest level of expertise and customer service.

Sarah Maloney

Sarah is the newest member of our firm. With 10 years of experience in the financial industry, she joins our team in an administrative capacity, providing scheduling support and helping us maintain the highest level of client services.

LPL Financial

LPL Financial, Integrated Wealth Management's broker-dealer, is a partner to us in serving you best.

COMMUNITY FORUM

Come Out and See Us!

Be sure to catch Integrated Wealth Management at one of the upcoming Willow Glen 2020 Community Events. Like last year we plan to be a part of the BBQ in the Glen Event in September and the Bubbly Walk in December. We hope to see you there! For more information, check out the NEW Willow Glen Business Association Website at: 

Willow Glen Business Association

Willow Glen Community Events

Saturdays | 9a-1p | Willow Glen Farmers' Market

04/04 | 2p– 5p | Spring Wine Walk

07/18 | 6p-8:30p | Summer Ladies Night Out

09/06 |  9a-4p | Cruise for a Cause Car Show

TBD | BBQ in the Glen

12/05 | 2p-5p | Holiday Bubbly Walk