The Main Street Process

At Main Street Investments, we call it “The Process.” But in simple terms, it’s our commitment to you — a four-step private wealth management process with no equal. The goal is to create an anxiety-free, personalized environment in which each client can achieve their individual financial goals. 

The First Meeting


Let’s get to know each other. At this meeting, you’ll visit with the Main Street Investment Group advisor of your choice and share with us what is truly important to you and your family. We’ll review your current financial situation, critical events (retirement or paying for college, for example) on the horizon and discuss your goals. Consider this meeting a bit of discovery — we’ll complete an extensive questionnaire to get your full financial picture and determine your risk tolerance. There are no right or wrong answers at this meeting, just an opportunity to begin to customize your future financial plan. 

The Second Meeting


Now that we’re comfortable, this meeting will allow us to present you with a custom financial plan, complete with recommendations for how to best achieve your financial goals. We’ll discuss the implementation and monitoring stages of the plan, we’ll educate you on what we think the most appropriate investment strategies for you are, and we’ll share with you the details about how to work the plan, including what we need from you. You’ll leave this meeting with a personalized financial plan developed using a program called “Wealth Vision.” You’re invited to ask questions and thoroughly review the plan and then decide if you want Main Street Investment Group to be your financial advisor. If so, we’ll move forward with a third meeting. If not, you’re free to keep searching for a fit with no fee for services from us. 

Third Meeting


As we move forward, this meeting will serve as an opportunity to dot the Is and cross the Ts. We’ll help you finish up any paperwork and answer any new questions that have arisen. This meeting can be done in person or remotely with electronic signing — as we know your time is valuable. 

Ongoing Reviews


Whether you want to hear from us a lot or not, Main Street Investment Group is committed to keeping our clients in the loop. We have clients that visit our offices as often as quarterly and as infrequently as annually. We’ll work with you, based on the complexity of your financial situation and your need to understand what’s happening, to determine how often we’ll meet for account reviews. And all along the way, we’ll be monitoring your plan, educating ourselves and keeping on top of what’s going on in the financial world, so you don’t have to. 

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This communication is strictly intended for individuals residing in the states of AL, AZ, CA, DE, FL, GA, IL, LA, MA, MD, MI, NC, NH, NJ, NY, PA, RI, SC, TN, TX, VA. No offers may be made or accepted from any resident outside these states. IMPORTANT CONSUMER INFORMATION A broker/dealer (BD), investment adviser (IA), or IA representative may only transact business in a state if first registered, or is excluded or exempt from state broker/dealer, investment adviser, BD agent, or IA registration requirements, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion. For information concerning the licensing status or disciplinary history of a BD, IA, BD agent, or IA rep, a consumer should contact his or her state securities law administrator Securities and Financial Planning offered through LPL Financial, Member FINRA / SIPC