Common Sense Compliance for “Better Best Interest”

Best Interest is more than a buzzword for us. It’s fundamental to how we do business and always has been.

We believe that compliance is here for the best interests of your clients. Sure, you’ve heard that before, but we actually take the time to understand your client’s needs and work with you to find the right solution. It’s not easy for us, but we don’t work off “checklists” or pre-determined outcomes. Our team takes a consultative approach to help you navigate the rules and truly do what’s best for your client. Our knowledge of product choices and nuance allows you to do it right the first time. It’s great for your clients, and good for you.

Our regulatory guidance is designed to protect you, and we provide comprehensive training on our policies and in-house procedures to ensure that submitting requests is fast and easy. Our team of trained professionals has in-depth knowledge of all federal and state regulations, and we are equipped to respond accurately and quickly to your questions and submitted materials. With our guidance and support, you can hit the ground running and focus on what you do best: serving your clients.

  • We actively work with you to build the best compliant solutions for your clients
  • Clear guidance on operational requirements
  • Compliance approval for business cards, letterhead, marketing materials, notice to clients, and any other materials you need
  • Assistance with registration materials
  • Guidance with Broker-Dealer transitions
  • Help to obtain licenses in additional states where you do business
  • Assistance and support for regulatory inquiries
  • Ensuring FINRA and SEC compliance standards are met without imposing undue demands
  • Variable company appointment paperwork
  • Ongoing continuing education
  • Annual Compliance Meeting and Firm Element/AML requirements