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Advisor Resources

Compliance & Supervision Resources

Compliance Team

  • David Rich

    Chief Compliance Officer

    (704) 816-8006
    david.s.rich@lpl.com

    Securities offered through LPL Financial, Member FINRA/SIPC. Advisory services offered through Gladstone Institutional Advisory, a registered Investment Advisor. Financial Resources Group Investment Services, Gladstone Institutional Advisory, and LPL Financial are separate entities.

  • Jim Liddington

    Senior Compliance & Supervisory Analyst

    (704) 816-8016
    jim.liddington@lpl.com

    Securities offered through LPL Financial, Member FINRA/SIPC. Advisory Services may be offered through LPL Financial or Gladstone Institutional Advisory, both SEC Registered Investment Advisors. Gladstone Institutional Advisory LLC, Financial Resources Group Investment Services, and LPL Financial are all separate entities.

  • Warren Williams

    Senior Compliance & Supervisory Analyst

    (704) 816-8012
    warren.c.williams@lpl.com

    Securities offered through LPL Financial, Member FINRA/SIPC. Advisory Services may be offered through LPL Financial or Gladstone Institutional Advisory, both SEC Registered Investment Advisors. Gladstone Institutional Advisory LLC, Financial Resources Group Investment Services, and LPL Financial are all separate entities.

  • Lindsey Bessant

    Senior Compliance & Supervisory Analyst

    (704) 816-8021
    lindsey.bessant@lpl.com

    Securities offered through LPL Financial, Member FINRA/SIPC. Advisory services offered through Gladstone Institutional Advisory, a registered Investment Advisor. Financial Resources Group Investment Services, Gladstone Institutional Advisory, and LPL Financial are separate entities.

  • Jeffrey Orlouski

    Compliance & Supervisory Analyst

    (704) 816-8036
    jeffrey.orlouski@lpl.com

    Securities offered through LPL Financial, Member FINRA/SIPC. Advisory services offered through Gladstone Institutional Advisory, a registered Investment Advisor. Financial Resources Group Investment Services, Gladstone Institutional Advisory, and LPL Financial are separate entities.

  • Lacie Witherspoon

    Compliance & Supervisory Analyst

    (704) 816-8048
    lacie.witherspoon@lpl.com

    Securities offered through LPL Financial, Member FINRA/SIPC. Financial Resources Group Investment Services and LPL Financial are separate entities.

  • best
    practices

  • Onboarding & Office Setup Overview

  • commonly used documents

financial institutions

DUE DILIGENCE:

COMMONLY USED DOCS:

RESOURCES

  • program manager orientation

  • compliance orientation

correspondence

submit monthly correspondence

All reps must submit correspondence monthly for the appropriate month, and attach related correspondence, as applicable. Click Submit button below for more details and the Correspondence Form.

https://onlinebooks.financialresourcesgroup.net/view/1051921021/

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