Financial Advisor Compliance

Be compliant and in-the-know with Personalized Regulatory Compliance support and OSJ guidance

As an independent financial advisor, it can be stressful and overwhelming ensuring your practice is up-to-date and compliant amidst ongoing FINRA and SEC regulatory changes. Financial Advocates helps advisors maintain their independence – without the worry- by relieving the supervisory burden and providing personalized OSJ regulatory compliance and support.



At Financial Advocates, Compliance is Popular!

Our Compliance team offers concierge level service

In the past you may have experienced frustration when working with your financial institution or independent broker-dealer’s compliance department.  Since our advisor to team member ratio is much lower, we are able to provide advisors with concierge level service.



Here’s what you can expect from the Financial Advocates Compliance Team:


Friendly Service

Our compliance team is eager to work with you and are always accessible.

Professional Guidance

Our team has extensive knowledge of the laws, regulations and guidelines governing advisory practices.

Supportive and Collaborative

We support our advisors and collaborate with LPL examiners to help identify alternatives.

Influential Relationships

We have established strong connections with LPL Financial home office enabling us to deliver faster reviews.

Financial Advocates Advisor Compliance Services

We help you GET IT RIGHT THE FIRST TIME! All of our compliance services and work is aimed at guiding and educating you to be as effective and efficient as possible. And of course, we aim to keep you out of the cross-hairs of regulators and litigators.

Transition Review


New Account, Transaction and Marketing Review


Case and Client Assistance/Escalation


SEC Compliant Document Storage


On-site Audit Assistance


Quarterly Compliance Webinar

Looking to grow or expand your financial practice?

We support an expansive network of independent financial advisors across the nation. If you are thinking about increasing your independence and opportunities for success, let’s talk.