Discover an easier path to compliance.

Compliance is a priority with FSC, and we provide the expert consultation, support and tools you need to avoid regulatory issues, reduce complaints and manage risk.

Our commitment extends beyond the routine supervisory duties and branch exams to include a full suite of resources that enable you to move much of your compliance burden to us. These resources include:

• Annual Compliance Meetings in every region, at which you can take your mandated compliance courses. Or, if you prefer, we enable you to meet your annual requirements online, on your schedule.
• Personalized Advertising Consultation that puts a Marketing Compliance Analyst just one toll-free call away. Your Analyst will guide you through the steps that ensure your marketing initiatives meet FINRA guidelines.
• An online Sales Practice Manual and Supporting Guides, for any-time access to up-to-date information on compliance issues faced by advisors. This valuable resource is backed by a dedicated phone support staff available during regular business hours.
• Integrated technology systems including online Transaction Review and web-based Transaction Review Supervision tools
• Our Paperless Office: Guides and Support for Financial Advisors, which can support and enhance your efforts to improve productivity, efficiency and accuracy in record keeping when implementing an electronic storage solution.
• A growing library of Pre-Approved Marketing and Advertising Materials developed with our professional marketing experts. Learn more by taking an interactive tour of our Advisor Marketing Center.