Portfolio Strategies

Compliance Advice

Common-sense 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.
We don’t follow a completely inflexible compliance regime.

Rather than promoting a one-size-fits-all approach, we encourage local solutions for your local compliance issues. You don’t have to adhere to rules that don’t apply to your business in your jurisdiction. 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 to succeed.

When you work with Portfolio Strategies you benefit.

Our working relationships with regulators, our understanding of regulatory requirements, and the advantage of our expertise all combine to make your compliance experiences as frustration-free as possible.

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.