In the ever-evolving world of financial services, relationships are key. For Maureen Kozak, a veteran of 38 years in the industry with the McCloskey Financial Group, a solid partnership with a broker/dealer is crucial. Five years ago, Kozak found that connection with Nations Financial Group, a decision that transformed not only how her firm operates but also how they serve clients at an elevated level.
Finding the Right Fit
Like many in the industry, Kozak once considered the idea of transitioning her firm to their own Registered Investment Advisor (RIA). After exploring different options, she was introduced to Nations by chance. During their initial meeting, Kozak felt an immediate sense of alignment. She describes the experience as “a light bulb moment,” explaining, “It just felt right. My clients are my family, my employees are my family—Nations felt like my family.” This sense of partnership has kept McCloskey Financial Group with Nations for five years and counting.
Reaching the Next Level
As a second-generation leader in the firm, Kozak is looking to lay the foundation for the third and fourth generations, ensuring that McCloskey Financial Group remains a trusted partner for clients and a thriving workplace for employees. Nations’ approach aligns well with this vision of growth and continuity. “They see that we want to grow,” Kozak says. “We want to put something in place for the future—for our clients, their children, our employees, and the employees yet to come.”
Turning Challenges into Solutions
When it comes to navigating complex client needs, Kozak recalls a standout moment when Nations went above and beyond. One of her clients, a former corporate insider and high-level executive, needed to build liquidity within strict regulatory constraints. Kozak explains, “It was complicated. But Nations just got involved. They figured it out very quickly… The client was thrilled that we were able to just accommodate him so well.”
This story illustrates how Nations provides proactive, knowledgeable support when facing sophisticated regulatory challenges, enabling McCloskey Financial Group to deliver seamless solutions for their clients.
Personalized Support in a Complex Industry
In today’s financial landscape, service has become increasingly impersonal. Kozak remembers a time when she could call someone directly for immediate assistance, a quality that she feared was lost in the industry. Nations, however, has rekindled this level of personalized service. “I have somebody on speed dial… I know their name, and I know their children’s ages,” Kozak shares, emphasizing the personal connection she has with her contact at Nations. This direct line of communication streamlines problem-solving, ensuring Kozak can focus on her clients instead of wading through complex systems.
A Future-Ready Partnership
For Kozak, her relationship with Nations is more than a business arrangement; it’s a partnership built on trust, mutual respect, and shared goals. As she looks toward the future, Kozak is confident that Nations will be a steadfast partner, helping McCloskey Financial Group scale new heights while preserving its legacy of client-focused service.
In an industry that can often feel impersonal and overwhelming, Kozak’s experience with Nations Financial Group exemplifies how the right broker/dealer – RIA relationship can empower financial professionals to deliver superior service while planning for sustainable growth.
