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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.
 

Prospective Affiliates | Affiliates Only | About Us
139 Wood Road, Braintree, MA 02184
Investment advisory services offered residents of CA, CT, FL, IL, IN, KY, LA, ME, MA, NV, NH, NJ, NY, NC, PA, RI, SC, TN, TX and VT through advisory representatives of U.S. Financial Advisors, LLC (USFA), an SEC-registered investment advisor.  Securities offered to residents of 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 through registered representatives of Lincoln Financial Securities, a registered broker-dealer and member FINRA/SIPC. 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 Lincoln Financial Securities.  In NY, insurance may be offered through LFS Marketing & Insurance Agency Corporation. In CA, insurance may be offered through LFS Marketing & Insurance Sales Corporation. Some life insurance and annuity policies involve exclusions or limitations.  For costs and complete details of coverage, contact your agent.