Compliance

Focused on Serving You

All of our compliance principals have worked in different brokerage sales capacities, giving them a unique perspective when it comes to serving you. They work with you to help ensure that your practice satisfies regulatory requirements, as well as suggest best practices to help protect your business against potential customer claims.

With a consultative and proactive approach, they can provide you with practical, real-world guidance and assistance across all aspects of your business, from account and trade review and supervision to advice on marketing and sales practices.

In addition, our entire compliance team—including the chief compliance officer and director of compliance—is available for direct consultation via telephone or email: we want you to contact us with your questions, concerns, ideas, or suggestions.