ADVISOR BENEFITSFinancial 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 RIA and 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.