A Full-time Team of Registered Staff Delivers Support & Confidence to Advisors
Everyone dreams of bring their own boss, and at the forefront of all advisors minds when going independent is making sure they remain compliant. With a full-time team of Series 24 held with LPL Financial staff available, technology, outside counsel, and LPL Financial, GVA has built a sustainable model that our advisors leverage for all their compliance needs.
With over a combined 50 years of independent and wirehouse experience, GVA has an extensive background in the regulatory space.
Here are some of the compliance items:
- Outside Business Activity Review
- Marketing Review
- Annuity Order Entry
- Financial Plan Review
- Account Application Review
- Audit Preparation & Review
- U4 Review