Broker Check

Compliance Support

<sup></sup><sup></sup>Compliance in Complete Control

Compliance in Complete Control

 We prioritize providing robust compliance oversight to our esteemed advisors. Our primary goal is to alleviate the compliance burden entirely from your shoulders. We understand the challenges and complexities involved, which is why we are dedicated to assisting our advisors in every possible way.

Thoroughbred goes above and beyond by assisting our advisors with the submission and monitoring of AdTrax submissions. Additionally, we conduct audits to ensure compliance, making the process as seamless and painless as possible. We take care of your blottering needs, ensuring accurate record-keeping and documentation.

Continuing Education (CE) Opportunities

Furthermore, Thoroughbred is committed to supporting our advisors' professional growth and development. We organize in-person meetings where we offer Continuing Education (CE) and Super CE opportunities. These meetings serve as valuable platforms for our advisors to enhance their knowledge and expertise, while meeting compliance requirements.

At Thoroughbred Financial, we are fully invested in ensuring that our advisors can focus on their core responsibilities while we handle the critical compliance aspects. With our comprehensive support, you can have peace of mind knowing that your compliance needs are taken care of efficiently and effectively.