Compliance

Our business-friendly Compliance Department offers you sales protection in an increasingly regulated environment. These professionals promise clear, concise answers, ongoing compliance education, help in developing compliant marketing and sales ideas, and up-to-date industry information on regulatory developments.

No wonder an independent survey found that 99% of our Financial Advisors were satisfied to extremely satisfied with the responsiveness of our Compliance Department!

The Compliance Department also administers our industry-recognized continuing education program and provides in-house registered investment advisory services. Other Compliance support includes:

• Anti-Money Laundering
• CAI Errors & Omissions Insurance
• Cash / Non-Cash Compensation
• Complaints / Litigation
• Correspondence / Advertising review
• Files, Books and Records
• FINRA licensing
• Outside Business Activities Approval
• Privacy
• State variable appointments
• Regulatory updates
• Transaction Risk Assessment