COMPLIANCE

We offer a personal compliance partnership with a dedicated supervisor to your team.  This partnership will assist in all areas of regulatory compliance including office set up, audit preparation, and ongoing supervision.  Our goal is to help you create and maintain the compliant firm you want without taking time away from taking care of your clients.

Services include:

 

  • Dedicated compliance contacts

  • Open Door Policy with managing partner

  • Daily review of:

    • Trade Blotter

    • Email

    • Hard copy correspondence

    • Anuity Orders - suitability review and approval

    • Alternative investments - suitability review and approval

  • New Accounts - suitability review and approval

  • Electronic maintenance of books and records

  • Evaluation of compliance issues/concerns

  • Semi-annual compliance meetings to update advisors on potential areas of compliance vulnerability and risk and to get feedback on our services

  • Outside business activity review and approval

  • Audit preparation

  • Regular compliance updates

The LPL Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states : AL, CA, CO, FL, GA, ID, IL, MI, MN, MO, NE, NC, NJ, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, VA, WA

 

Securities and Financial Planning offered through LPL Financial, a Registered Investment Advisor.

Member FINRA/SIPC.

 

Check the background of investment professionals associated on this site on FINRA's Broker Check.

 

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