Compliance & Due Dilligence

Cetera Advisor Networks LLC is committed to strict adherence to compliance. In fact, the founders of our organization all have regulatory backgrounds. This tradition of careful examination and conducting business by the letter of the law continues today, as our Regulatory and Compliance departments keep a watchful eye on securities transactions. Our compliance officers review regulatory framework, product due diligence, communications guidelines, branch office inspections and audit management. Our Product and Research Support department has received national acclaim for its efforts.

Fiduciary duty; this means as advisors we must hold a higher standard of business morality and integrity. We must place interest in our clients first. The fiduciary duty requires disclosure of even potential conflicts to the client whether or not the advisor believes that his advice is truly the best interest of the client. This duty is imposed by law and cannot be negotiated.

The fiduciary duty of an advisor begins at the very start of an advisory relationship with the client. Before actually executing the advisory contract the client must fully understand all aspects of the relationship including the purposed method of compensation.