Compliance

We provide many resources that enable our representatives to conduct business with the confidence that they have access to critical and timely compliance related training, protocols, and tools.

We provide a relationship-centered approach to compliance. This means we focus on establishing an alliance with our representatives, through which they can feel like they have a partner when addressing compliance related issues.

We offer a uniquely qualified compliance team. Our team has decades of experience, consisting of the following: over a hundred examinations and audits; experience working for an industry regulator; and two Certified Regulatory and Compliance Professionals (CRPC) designations from the FINRA Institute at the Wharton Business School, a designation deemed to be the highest compliance designation in our industry.

For more information about the DFPG Team and their experience, click here.