Supervision

Our First Line Supervision Team assists financial advisors with the challenges resulting from the ever-changing regulations of the SEC, FINRA, the Department of Labor and state agencies. Our experienced team takes a collaborative approach to ensure your clients and business are protected. Each affiliated advisor has a dedicated supervisory principal who is available to assist with day-to-day supervisory responsibilities, including:

• Understanding and meeting your regulatory requirements
• Business processing and review
• Marketing materials
• Licensing
• Training and CE requirements
• Cybersecurity and protecting client data

We pride ourselves at taking a consultative approach, allowing us to get to know your business and be an advocate for you, so you can focus on serving your clients and feel confident your business will be protected.