At Gradient Securities, we take a consultative and proactive approach to compliance supervision.
"Common Sense Compliance" is our hallmark. Because of our affiliation with Gradient Financial Group, our representatives gain access to experienced professionals in fixed annuities, life insurance, tax services and investments who have the resources to properly review and understand marketing materials that address these topics.
At Gradient Securities, we take a proactive, consultative, approach to compliance supervision. Our experienced supervising principals act as personal risk managers and partners. Each representative receives a personal call from a compliance officer, upon joining our team, to introduce our compliance program and requirements. We work with our representatives to help ensure their practices satisfy regulatory issues, as well as suggest best practices, to help protect their businesses against potential customer claims. We utilize a comprehensive online system for completion of firm element and anti-money laundering training, in addition to the annual compliance meeting. We understand how crucial our role is in helping our representatives manage the day-to-day activities of their business.
Our compliance principals, Chief Compliance Officer and President are always available for direct consultation via telephone or email to ensure our representatives can contact us with questions, concerns, ideas, or suggestions.