 |
|
|
|
|
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 supervision needed to ensure that your practice is run consistent with applicable SEC, NASD and state 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.
|
|
| |
Investment advisory services offered through U.S. Financial Advisors, LLC (USFA), an SEC-registered investment advisor.
Securities offered through U.S. Wealth Advisors, LLC, a registered broker-dealer and member /
139 Wood Road, Braintree, MA 02184.
USWA, USFA, and
U.S. Insurance Brokers, LLC are wholly-owned subsidiaries of U.S. Wealth Management, LLC.
|
|
