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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.

Advisor Group employee testimonial: Walter, Supervision VP

I was sold on the organization because of its culture and commitment to invest in its employees.

— Walter, Supervision VP

Hear from our employees

Management here believes in change and new ideas, so someone who wants to work here should have innovation as part of their daily thought process.

— Kavita, Supervision Program Manager

For additional information about our business model, or details about how to join us as an affiliated financial advisor, please click here.

We serve a network of independent financial advisors throughout the U.S. who work under four well-established firms:

View to learn more about FSC Securities Corporation

View to learn more about Royal Alliance

View to learn more about Sagepoint Financial

View to learn more about Woodbury Financial

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Securities and investment advisory services are offered through Advisor Group, Inc. subsidiaries, FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc. and Woodbury Financial Services, Inc., broker-dealers, registered investment advisors and members of FINRA and SIPC. Terms of Use | Disclosures

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Advisors Group

Be a part
of the team
that ensures
our excellence

Compliance & Risk

Hear from our employees

We serve a network of independent financial advisors throughout the U.S. who work under four well-established firms:

Follow Us

Advisors Group

Be a partof the team that ensuresour excellence

Compliance & Risk

Hear from our employees

We serve a network of independent financial advisors throughout the U.S. who work under four well-established firms:

Follow Us

Be a part
of the team
that ensures
our excellence