In today’s environment with the constant change in rules and regulations, it is more important than ever to have a partner by your side to help you navigate through the changing landscape. As our network’s dedicated Chief Compliance Officer and OSJ Delegate, Colby Cypriano and her team have built systems and processes to support you in this area. Viewing compliance as our industry’s version of what other industries might call their “safety program”, we host regular network update calls for both you and your team members to proactively provide guidance on the industry’s newest developments.
Process paperwork you send us or communicate with your office within one business day of receipt to insure timely processing and follow-through of time sensitive client paperwork.
The best defense is a good offense. Staying on top of industry trends, best practices and new rules and requirements in order to adjust work flows and processes and keep you abreast of important developments ahead of the curve.
Thorough and comprehensive review of client business you submit considering the various angles and aspects that will protect both you and your clients from future misunderstandings and miscommunications. The key aspect of this standard is thorough documentation of recommendations and advice for both new and existing client accounts and reviews, detailing the reasoning and suitability behind your recommendations.
Simply put, doing the right thing by you and your clients and doing things the right way and within the guidelines and rules of our industry.
Although your practice may be substantial, connecting it with the scale and scope of a larger enterprise immediately makes your business more valuable and you’ll find it easier to get the time and attention you deserve from the companies you work with. The Horizon Advisor Network enjoys a strong relationship and spirit of partnership with the leadership and operations teams at Cetera Advisors. Collectively, this gives us timely access to resources, guidance and advice that most individual advisors cannot access on their own.
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Securities and advisory services offered through Cetera Advisors LLC, member FINRA, SIPC, a broker/dealer and Registered Investment Advisor. Cetera is under separate ownership from any other named entity.
Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation(commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services.
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