As an independent financial professional, you will be pleased to know that you have the compliance support needed to function confidently within today’s increasingly stringent regulatory environment. Our broker/dealer’s Compliance Department offers you services such as:

• Rapid turnaround for compliance approvals
• Superb regulatory record in supervision and education
• Comprehensive Errors & Omissions insurance coverage
• Experienced, pro-active licensing staff

You will be encouraged to find you are backed by an experienced Compliance Department to help guide you through the maze of rules and regulations – a department whose job is not to say “no,” but to work with you to make your ideas succeed.

The MAP office you choose to affiliate with will offer a number of the following support services.

Problem resolution and compliance aid. It is inherent in this evolving, highly regulated industry that occasional problems and compliance issues will arise. Your MAP will act as an experienced partner in the resolution of these issues, resulting in quick and accurate closure of the situation.

Practice management. Your MAP will help create a clear vision of what your overall goals are, and assist you in the design and writing of a business plan. Such plans result in a more efficient use of time, leading to increased revenues.

Practice operations. When it is necessary to be absent from the office for vacation or personal reasons, your MAP can provide an experienced representative to answer calls and execute trades on your behalf.

Marketing. Your MAP works with the broker/dealer to develop new marketing tools, such as seminars, brochures, and advertisements, to market and promote your practice.

Case development and design. Occasionally, client cases involve areas of expertise outside your realm of experience. Your MAP has the resources and high levels of financial planning expertise to help you develop, sell, and service such cases to the clients’ best interests.

Transaction processing. All transactions are processed by your MAP office. Paperwork is reviewed, scanned, and stored, and entered into the broker/dealer’s on-line system and forwarded to the appropriate agencies by your MAP.