The compliance department at B.B. Graham & Co. is staffed with knowledgeable industry professionals who believe that compliance can serve in a consultative role and be proactive to help you reduce the possibility of complaints and mitigate business risk.
Our compliance personnel are supportive of your business and responsive to your concerns by providing you with practical guidance and assistance in the specific areas that are relevant to your practice.
Our compliance support and supervision services include:
Advertising reviews and approvals
Branch and location reviews
Continuing education issues
Licensing and renewals
Annual compliance requirements and meetings
Outside Business Activity review and analysis
Transaction & fee-based reviews and monitoring
Guidance with sales practice issues
Direction for proper record keeping
The compliance professionals at B.B. Graham & Co. are available for direct consultation via telephone or email to discuss your questions or concerns.