Compliance Overview by U.S. Wealth Management, Inc.

Overview

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Compliance

The financial services industry continues to be one of the most highly regulated industries in the nation. In today's ever-changing regulatory environment, the challenge facing financial professionals lies in understanding and meeting the various compliance requirements and responsibilities.

U.S. Wealth Management's Compliance Department provides the training, support, assistance, and on-site supervision to help ensure that your practice is run consistent with applicable regulatory rules as well as firm compliance policies and procedures. Good compliance is good business and it is the key to minimizing risk while building your successful financial practice.

Whether it's a matter of a confidential nature, an interpretation of compliance policy, or an area where supervisory guidance is needed, we are here to help you.

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Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through U.S. Financial Advisors, a registered investment advisor and separate entity from LPL Financial. The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with resident of the following states: AL, AR, AZ, CA, CT, DC, FL, GA, HI, IA, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, NC, ND, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, VA, VT and WA. USFA, and U.S. Insurance Brokers, LLC are wholly-owned subsidiaries of U.S. Wealth Management, LLC. U.S. Wealth Management companies are not affiliated with LPL Financial.