Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Vigilant - Responsive - Experienced - Managing Risk

You have spent years developing a reputation for integrity and service in your business practice. Your good name is your business. But all that can quickly change with a compliance problem or an unexpected customer complaint. Unanticipated hurdles can be costly, time-consuming and threatening if you don’t have the right partner for support.

Some of our consistent approaches include:

  • Supervision. A supervisory and surveillance system that makes it easy to identify and review potential risks. Including:
    • Account review and approval
    • Trade surveillance and suitability review
    • Client correspondence review
    • Marketing material review
    • On-site branch audits
    • Licensing and registration
    • Complaint resolution
    • Social media and email compliance
    • Outside business activities
  • Best Practices Training. Ongoing training to keep you current on industry and regulatory standards.
    • Firm element continuing education
    • Alternative investment and special product training
    • Variable annuity and municipal securities training
    • Mutual fund breakpoint and mutual fund switch training
    • Anti-money laundering training
    • Client suitability training
  • Business Continuity Plans. Our business continuation processes and templates provide protection for your business and clients in case of a disruptive event. Including:
    • IT upgrades
    • Software security
    • Multi-level Cyber-security policy through custodian(s) and firm.

There are plenty of challenges in today’s financial industry. Let us help protect you from unforeseen dangers on the horizon.

 

Adventure Bay, Altoona, Iowa

Adventure Bay, Altoona, IA

Protection - Partnership - Perseverance

We focus on protecting your business and your clients by helping you minimize your exposure to risk with all securities regulations.

  • Personal service from compliance for your overall business plan.
  • Tailored programs and support to match your business model and licensing.
  • Thorough due diligence review of all new product selling agreement requests.
 

Please contact us to learn more at (844) 468-5800 or join us. We welcome you to continue exploring the benefits of being affiliated with Broker Dealer Financial Services Corp. and Investment Advisors Corp.
 


We are committed to establishing an exceptional partnership with our financial advisors, providing the support, tools and resources needed to help clients achieve their financial goals.

Broker Dealer Financial Services Corp.
Investment Advisors Corp.

140 South 68th Street
West Des Moines, Iowa 50266

Member: FINRA / SIPC / SIFMA

©2016 Broker Dealer Financial Services Corp - All Rights Reserved
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Securities offered through Broker Dealer Financial Services Corp., Member SIPC. Advisory services offered through Investment Advisors Corp., an SEC registered investment advisor.

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