Compliance Advice

Rather than promoting a one-size-fits-all approach, we encourage local solutions for your local compliance issues. We put an end to the frustration that many advisors feel towards rules that make it easier for the dealer but harder for the advisor. You don’t have to adhere to rules that don’t apply to your business in your jurisdiction. When you work with Portfolio Strategies you get the benefit of our working relationships with regulators, our understanding of regulatory requirements, and the advantage of our expertise.

Our accessible compliance staff and branch manager network are ready to answer any inquiry about compliance. Our ability to provide personalized advice differentiates us from larger, more bureaucratic investment firms.

At Portfolio Strategies, you will enjoy unparalleled support and the freedom to do business your way.