Compliance and Regulatory Support
Securities America’s Compliance and Legal departments can leverage our experience to help you set up an investment program that meets your regulatory needs. From adding all required disclosures to statements, forms and communications, to yearly audits to ensure your investment program remains in compliance with regulatory standards, to providing reports necessary to supervise and manage the sales activities of your program’s advisors – we will be there to help protect you and your customers, through best practices of documentation and education, critical components to securing your business.
Dual Clearing Relationship
By securing the ability for advisors to clear business through two distinct platforms, National Financial Services and Pershing, Securities America is helping to ensure your investment program’s independence. Equally powerful and unique, these two platforms provide you the opportunity to pick which company best meets your needs.
Our Representative Relations and Gold Star Program teams provide front-line response and rapid, personalized attention whenever you have questions. With a regionalized structure, you’ll always work with the same team. You will also have an online tracking system via Advantage Workstation and specialized research teams to resolve and respond to any complex issues.
On-site office inspections help ensure that operations remain in compliance with industry regulatory expectations. Office inspections are conducted on both a scheduled and unannounced basis.
Securities America’s cutting-edge technology meets or exceeds all industry regulations for protecting your valuable business and client data. Information security is a top priority for us, as it is for you, and we’ll work closely with you to ensure your expectations are met.