7700 Mineral Point Road,
COMPLIANCE & SUPERVISION
Our philosophy is to personally know each of you and to understand your business practices. With this type of hands-on approach, we can provide a more effective and supportive means to compliance.
We create strategies that are tailored to your needs and goals. Keeping up with all required FINRA rules and regulations can be time-consuming, intimidating and overwhelming, due to the nature of the ever-evolving financial services industry. Our seasoned Compliance and Supervision team understands every component of keeping your business compliant and is dedicated to ensuring you practice is run in a low risk environment.
Years of experience have prepared us to guide you through your life transitions. All of the supervision is performed by non-producing, FINRA Series 24 principals. This allows us to have a more proficient and concentrated means of oversight and affords our staff the time and ability to provide the finest quality of service.