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New Indi - Need help

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Aug 9, 2011 10:14 pm

drk_999

Joined: 2010-12-29Offline

1. Can any one share their compliance check list. I am starting new and I want to make sure that I keep all the necessary records/documentation.

2. What software/template do you use for client suitability?

3. How frequently do you update the financial statements

4. Is there any oneone/business who can take my adv part 2 and put it in nice brochure format rather than a PDF? Do you take a signature when you deliver the adv part2 and 2(b) so that you have a proof that you have delivered?

5. Any recommendation for creating a website

Aug 10, 2011 4:09 am

Helping Advisors Go Independent - Liberum Advisor Solutions

Joined: 2011-08-04Offline

Liberum Advisor Solutions specializes in helping advisors build effecient process and procedures, choose the a appropriate vendors and software partners.  Our infrastructure recommendations help you build a platform that includes Client Proposals & Reporting, Trading, Marketing, Compliance, Billing and Portfolio Management.  Give me a call so I can help.