Comprehensive OSJ Services to Enhance Your Independence

As a full-service Office of Supervisory Jurisdiction, we offer a wide array of supervision, consulting and business services to our network of affiliated advisors, allowing you to focus on your clients and your business:

Our basic OSJ services include:

  • Onsite location inspection and support
  • Full translation of LPL compliance guidelines for the individual office
  • Tracking of individual firm element requirements
  • Tracking of all documentation required for FINRA, SEC, and LPL compliance
  • Operational assistance by dedicated individuals at our full-service OSJ in Horsham, Pa.
  • Hands-on support transitioning your book of business to LPL
  • Better access to wholesalers and LPL corporate resources due to scale
  • Access to and collaboration with other successful OSJ advisors
  • Ongoing business, marketing and sales support

But where traditional OSJs end, we can provide your firm with the following additional services:

  • Dynamic annual meeting of advisors, business partners, and wholesalers
  • Quarterly meetings focused on compliance & sales-related topics
  • Onsite training of sales assistants at OSJ upon hire
  • Succession planning assistance to help maximize the value of your practice
  • Opportunity for placement in a Financial Institution Services program
  • Complete business analysis & valuation prepared by a third party under contract