Staff with Experience
Our compliance and supervision staff is comprised of fully-licensed and seasoned professionals. Working as an Office of Supervisory Jurisdiction, our goal is to form a more focused and resourceful supervision platform, protecting our clients, effectively mitigating risk, and helping support our advisors to produce more efficiently and compliantly.
Ongoing Business Reviews for Your Practice
Our team uses cutting edge technology and tools to identify and address trends, patterns and concerns surrounding clients’ accounts or an advisor’s sales practices. A few of the ways we consultatively assess your business practices:
- Securities transactions
- Investment product switches
- Actively traded accounts
- Concentrated positions
- Risk score drift
Professional support stemming from in-depth knowledge
We go above and beyond LPL’s standard structure to provide you with a high-touch consultative approach to supervision. A few of the ways we proudlysupport your business:
- Full spectrum of investment knowledge
- Experience handling complex products to include, structured notes, annuities, options and alternative investments
Detailed monitoring services
We help surveille various avenues of your business to keep you compliant. A few of the ways we keep you compliant and help protect your clients:
- Monitoring account changes
- Overseeing third-party cash and security disbursements
- Surveillance of outside business activities and email communications
