Our Compliance

We make compliance work for you.

SSN maintains a compliant, risk-averse culture because we think it makes for good business. Our dedicated Compliance Team, led by top executives with compliance and legal experience, is committed to helping our advisors meet regulatory requirements, avoid legal pitfalls and do business the right way. Equally important, however, we understand the need to be responsive, timely, easy to work with, open-minded, innovative and entrepreneurial in how we approach finding compliance solutions for you.

Solutions-oriented thinking. Unlike compliance departments at many broker dealers, the SSN Compliance Team is committed to using its extensive knowledge of regulations and the law to consider compliance questions and look for solutions to achieve the desired result for each affiliated financial professional. Like you, we think entrepreneurially and are committed to being open-minded and flexible. We remember that we work for you.

We know that our affiliated financial professionals are independent business owners and most have successful businesses with significant equity. We know that owning a business in a regulated industry is serious, and we offer solutions and options to help our reps play by the rules and maintain good relations with those who regulate. We believe that just makes good business sense – for us and for our advisors.

Fast Ad Review. Looking to get an ad approved? Need a marketing brochure reviewed? Tired of waiting days, even weeks for compliance review, often only to be told that it doesn’t meet regulatory requirements? At SSN, we try to get ad review through our Compliance Department in as few as 24 hours. In fact, most of our ads are approved the same day submitted! We know the quicker we can get your materials approved, the quicker you can market and grow your business.

24/7 online compliance. Through our extensive web portal, all SSN affiliated financial professionals have 24/7 online compliance and document maintenance and tracking. Plus, we provide ongoing education and updates to make sure you stay on top of regulatory changes. Not only will you have complete and committed access to our dedicated Compliance Team, we will educate and empower you and your business team on what it takes to run a successful business in a regulated industry.