Compliance

Our Compliance Team Offers Concierge Level Service

 

As an independent financial advisor, it can be stressful and overwhelming to ensure 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.

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 can provide advisors with concierge level service.

What You Can Expect From Our Compliance Team

 

FRIENDLY SERVICE

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