Compliance Philosophy


While compliance is an enormous part of a Broker/Dealer's responsibility, we do not believe it needs to be conducted in a manner that puts the Advisor on the defensive.  

At J.W. Cole, we have created a system of support based around a Relationship Management Team for each individual Advisor.  This team gets to know each Advisor's staff and business model, reviews and approves all business, as well as acting as a single-contact point for you and your business.  In short, they help you grow your business in a profitable and compliant manner.

We believe that this is a rarity in the Broker/Dealer community and stand proud by the fact that what is usually a negative in our industry, is yet another strength of J.W. Cole.

You are a valuable partner of J.W. Cole, and we take the steps to help you make compliance part of your success.


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