Compliance

When it comes to compliance, management at J.W. Cole maintains the philosophy that we are here to promote your business, not prevent it.

Our Investment Professionals are consistently praising the home office of J.W. Cole for the timeliness and efficiency of our compliance department. We believe that this is a rarity in the Broker/Dealer community and stand proud by the fact that what is usually a negative for the typical Broker/Dealer, is yet another strength of J.W. Cole.

Whether you are submitting a marketing letter to send to prospective clients, needing information on keeping your CE up-to-date, or having an office inspection performed at your local branch, J.W. Cole promises to provide you with answers that are timely, pertinent, and proper. While compliance is an enormous part of a Broker/Dealer's responsibility, it doesn’t have to be conducted in a manner that consistently puts the representative on the defensive.

We look forward to helping you grow your business and maintaining proper sales procedures with a compliance department that is helpful rather than hurtful.