Broker Check

Compliance Support

You're great with clients, great at writing business and great at running your practice. Professional Investors Network is great at staying abreast of firm, FINRA, SEC and state regulations and ensuring our members understand the current compliance environment. We are fluent with SEC, FINRA and state regulations, LPL Financial firm policies and the processes of our Office of Supervisory Jurisdiction.

Prior to onboarding with our producer group, we spend time in your office ensuring you and your staff are aware of your regulatory obligations and the processes required to keep your business compliant. After onboarding, we perform a pre-audit to ensure you are fully compliant out of the gate and have nothing to worry about should you get audited. We also perform pre-audits of your office upon request. 

At our annual 2-3 day producer group member conference, we share the lastest industry and compliance news affecting your business. In addition to the compliance notices on policies and procedures published on LPL Financials' advisor website, our office will send to you and your staff regular compliance updates.