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
This webinar serves as the Annual Compliance Meeting and attendance is mandatory for all SWAG advisors and administrative/operational staff.
If you need to register for the webinar, please email or call your Network Compliance Supervisor for details.