Compliance Advice

Common-sense Approach to Compliance

As a proudly independent dealer, we have a non-proprietary and unbiased product offering because we believe in providing advisors with the flexibility they need to develop personalized investment solutions for their clients.

Our Mission

To be the investment dealer of choice for ethical, entrepreneurial and independent advisors.
When you work with Portfolio Strategies you benefit.
We focus on practical, straightforward solutions that align with your business goals while meeting regulatory requirements. Our approach emphasizes understanding the intent behind the rules and applying them in a way that is efficient, effective, and easy to follow.
Our focus has been centered on collaborative relationships with our regulators to help ensure clarity, address concerns proactively in an open environment, and create a smoother path to compliance.