Compliance saves firm and advisor over $1 million….

Now that we got your attention, this didn’t actually happen, but good compliance and compliance training are there to “protect everyone”.  In the independent market, due to limited resources when compared to larger counterparts, compliance and compliance training are more reactive.  Being fragmented with limited technology and resources and lacking communication expertise, there is a gap when new regulation/memorandum is disseminated from the firm to their branches/advisors.  The regulatory do a fantastic job to put out information for their member firms.  Smaller members are not equivalent to larger member firms; as a result they may not have dedicated expertise in training, in compliance, and in technology.  So the independent financial advisors do not get “all” the necessary training and are left to fend for themselves.

At SupportingAdvisors.com, we provide assistance for the last mile.  We assist firms and independent financial advisors with the necessary communication, information and technology.  Our members benefit by having a solution to compliance and compliance training support.  Our philosophy for training is:

*         Providing timely information,

*         Creating awareness,

*         Supporting with resources,

*         Making disclosures.

We take great pride in being ahead of the curve with regards to compliance training support.  By following our philosophy for training in our everyday business practice, we ensure independent financial advisors are further supported and can succeed in growing their business without disruption.  Where some advisors fail miserably, we want to ensure that our members have the right tools to succeed.  

One major, major caveat:  “Overall independent financial advisors supervision is the responsibility of their Branch and Branch Manager, we are confident that SupportingAdvisors.com can provide the supplemental tools and support.” 

Take the time to learn about our products and services.  You will see, we offer “Bank-like support for Independents”.