Compliance Support

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

In addition to extensive industry experience, the GVA team has also built an in house portal for our advisors to leverage from the moment they turn independent.

Service & Technology

GVA is no stranger to technology, from our in house customized compliance portal, to your very own document storage system, we have a full range of solutions designed specifically for your office.

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