Headquarters Support There are nearly 4,000 headquarters associates with a singular focus - providing the support and tools you'll need to help clients succeed. This includes: Compliance
Ours is a highly-regulated and often-changing industry. That is why we provide you access to a team of dedicated Compliance and Registration associates who handle the majority of your compliance and legal responsibilities, freeing you up to spend more time advising clients and building your business. Our Field Supervision department supervises our branch offices to ensure that we comply with industry regulations and serve our clients' best interests. Research
Research associates provide you with stock recommendations and market information and identify high-quality investment opportunities. Researching stocks and market trends is complex and not an exact science. We take this work seriously because we know our recommendations can have a direct impact on helping you to help your clients reach their goals. One of our Research department's core values is “analyst accessibility.” Our analysts are available to answer your questions regarding stocks, industries and overall market conditions. We also have several online tools and services to help you select the appropriate stocks for your clients. Marketing
Marketing associates work closely with our Products and Sales division to improve your marketing strategies and provide you with tools, seminars, literature and programs you can use to market your business locally. They also execute qualitative and quantitative survey research for clients and prospects, and advise you on coordinating events and seminar planning targeted at helping you grow your business. Operations
Operations associates will partner with you to deliver timely and accurate client information and account processing. They will also answer your calls and communications regarding the specific product/process issues and reconcile all account matters on your behalf. Branch Services
Branch Services provides fast information, friendly support, and reliable solutions. Hundreds of headquarters associates are available via a free phone number to answer your questions, provide you with individual training and help you resolve any client related issues – all at a moment’s notice.
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