Compliance & Supervision
Just as mastering bike riding allows you to explore new paths confidently, understanding and adhering to compliance and supervision in financial planning allows advisors to offer creative, effective solutions while maintaining safety and integrity.
Experienced & Credentialed Compliance Team
Financial Resources Group’s team of designated principals can assist you with questions on many topics, including LPL compliance flags, policies and procedures, continuing education, audit preparation, and advisory compliance best practices. We are able to work as your advocate and liaison with LPL on compliance related issues and requirements.
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 consultatively assess your business practices:
- 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
