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Compliance

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Compliance

Compliance Supervision

With heightened regulations and increased scrutiny of the financial services industry, compliance supervision is a mandatory component of running your practice. 

Outsourcing compliance to TLWM helps to increase your face time with clients and prospects. By letting TLWM manage your compliance responsibilities, you can focus on your business again.

Some of the areas our compliance team handles include:

  • Daily requirements:
    • Trade blotter review
    • Correspondence review
    • Advertising review
  • Account surveillance
  • Registration and licensing
  • TLWM examinations
  • New account applications
  • Maintaining and updating RIA with regulatory bodies
  • ADV 2a, ADV2b, RIA client agreements

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TLWM CONTACT

  
Phone: 210 541 8600
Email: info@tlwmfinancial.com  

San Antonio

40 N.E. Loop 410, Ste. 644
San Antonio, TX 78216
 

Lubbock

7021 Kewanee Ave.
Lubbock, TX  79424
P: 806-696-3399

Securities offered through LPL Financial, Member FINRA / SIPC. Investment advice offered through TLWM, a registered investment advisor. TLWM and TLWM Financial are separate entities from LPL Financial.

The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states: AL, AR, AZ, CA, CO, CT, FL, GA, KS, KY, LA, MA, MI, MN, MO, MS, NC, NJ, NM, NY, OK, TX, UT, VA, WA​, WV​.

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