Financial Institutions
Testimonials
Securities America’s compliance and supervision teams leverage our experience to help your investment program meet all regulatory needs. Our goal is to protect your business, so financial professionals are free to focus on serving clients. To ensure your financial institution’s investment program remains compliant we:
- Add required disclosures to statements, forms and communications
- Provide necessary reports to supervise and manage sales activities
- Perform yearly audits
- Protect you and your clients with documentation best practices and education
- Assign training professionals to supervisors, financial professionals and their staff to maintain our standards of excellence
In your search for a firm to support your financial institution’s investment program, we’re sure you’ll find Securities America has some of the most impressive product, support and service offerings in the industry. In addition, you’ll receive dedicated support from our helpful, knowledgeable and experienced team of professionals, dedicated to helping build your investment program.
Through constant, open communication with program managers, financial professionals and assistants, and by putting ourselves in your shoes, we relentlessly pursue improvement. We measure key performance metrics to ensure we exceed the expectations of your program and clients. Culture plays a big part in a successful relationship.
Partnering with Securities America enables you to provide clients or members access to a wide array of non-proprietary products and investments. From retirement distribution programs to individually-designed financial plans, we work with our financial institution partners to implement the shared vision of helping people fulfill their dreams.