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!
We pride ourselves on having a “popular” compliance team. Don’t believe it’s possible? Watch the video below to hear from some of our advisors.
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:
Our compliance team is eager to work with you and are always accessible.
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.
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.
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.