COMPLIANCE
EXPERTISE
When you watch the videos of our advisor testimonials, you’ll notice one over overriding theme. Our compliance department is here to work WITH you. We do believe that protecting the firm and your business are essential – but we also understand the importance of marketing and advertising.
Our compliance staff understands your need to express your brand in a personal way. In our reviews, we work with you to try and provide the flexibility you need, while protecting you from crossing over into something that could ultimately get you into trouble.
Marketing and Advertising
Our compliance review process can typically have your marketing or advertising submission approved within 24 – 48 hours. In the situation where content submitted does not meet industry criteria, we will provide you with alternative ideas, in an effort to help you express the message you desire in a way that is compliant with industry rules. Our goal is to help you promote your products or services your way, while staying within the FINRA guidelines.
Errors & Omissions Insurance Coverage
Moloney Securities has a comprehensive E&O insurance policy to provide peace of mind through protection of our firm and our Financial Advisors. Our E&O coverage extends to your insurance and investment advisory activities in addition to your securities business. All Financial Advisors are required to participate in the Moloney Securities E&O program.
Licensing
At Moloney Securities, the same department handles all of our Financial Advisors licensing needs – whether for securities, insurance or registered investment advisory requirements. You get one stop, efficient licensing handled by our experienced staff. We have the contacts and expertise to ensure it doesn’t become a stumbling block for conducting your business.
Additionally, we’ll take over the responsibility of notifying you when your license is about to renew and when continuing education credits are needed. With so many requirements around continuing education, particularly regarding requirements for long term care and annuities, we will take the confusion and frustration out of the process.
Moloney Securities is registered as a broker-dealer in ALL 50 STATES.
Continuing Education
Moloney Securities has a firm specific “firm element” training program to keep our financial advisors current in changing times. We focus our educational topics on both regulatory guidance and feedback from our advisors. In other words, our program is in part, created based upon what our Financial Advisors tell us they need.
Additionally, we manage the process around the “regulatory element” of the securities industry continuing education program. This aspect of the program requires you to attend a FINRA program remotely, from your computer, via an internet-based program. Our staff will guide you through the process to ensure that you avoid any potential oversights.