Regulators love this program because it’s all based on disclosure.  We even call one of the meetings in the process the “Disclosure Meeting!”

We take people with money who have an advisor, run them through the 21-Point Checklist of disclosure topics, and turn them into people with money who no longer want the advisor they have.  It’s simple…and it’s extremely compliant and regulator friendly.   

Call us at 507-424-0900 and we'd love to schedule a time to talk to show you how to easily make your practice the most compliant in town.