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of the team

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Career Stories

We support nearly 7,000 customers, known as advisors, by providing them operational assistance, business development, sales and marketing, technology platforms and more. We invite you to explore the stories of some of the individuals on our valued team.

Compliance & Risk

Our Compliance & Risk teams develop and maintain business risk management procedures to identify, reduce and measure the risk exposure of the firm and its broker-dealers. Departments include Branch Examinations, Supervision, Internal Audit, Regulatory Affairs, Surveillance, Advertising Review and Anti-Money Laundering.

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Customer Service

Our Customer Service teams handle inbound requests for service from advisors. They apply their broad business process knowledge to troubleshoot and resolve issues, and monitor and maintain advisor records, while assisting in account movement and transactions.

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Sales & Business Development

Our Sales and Business Development teams deliver holistic wealth management sales and consulting support and solutions, providing investment and protection strategies to advisors and their clients. These teams also support the growth of our advisor network, as well as individual advisors’ business.

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Technology

Our Technology teams identify, develop and implement technology innovation solutions to improve the ability of affiliated advisors to efficiently grow and serve their clients.

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Corporate Functions

Our enabling teams partner across the enterprise to drive business strategy and deliver results for Advisor Group and our advisors. These functional teams include: Finance, Human Resources, Legal, Marketing, Project Management and Strategic Initiatives.

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