Compliance & Supervision

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 proudly
support 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

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