We ask that our Strategic Wealth Advisors Group Advisors and Administrative/Operational Staff join us for a monthly compliance call that covers the following topics:
1) Best practices for Investment Advisory Representatives
2) Updates to Policies and Procedures
3) Quarterly Requests
4) Reminders of events
Attendance for this call is mandatory by at least one person in your office. Our goal is to get the details out clearly and concisely so it can be passed on to everyone else to make the most efficient use of your time. Of course, if more than one person wants to attend, please feel free to do so. We look forward to connecting with you soon.
If you need to register for the webinar, please email or call your Network Compliance Supervisor for details.