Your Partner in Compliance

Compliance is a critical component for both DAI and the advisor. We engage with you in an ongoing approach to this area of your business. Our goal is to set you up with a roadmap to running your business in a compliant fashion from day one. With ongoing and interactive education throughout the year, our team of compliance professionals is here to support you as your practice evolves.

Licensing and Registration
  • Managing FINRA and IAR State Registrations
  • U-4 amendments and branch filings
  • Appointments with carriers
  • Opening windows for FINRA exams
  • Firm element CE and AML training
Branch Office Checklist (Non-OSJ and OSJ Differences)
  • Registered Rep File
  • Complaint File
  • Correspondence File
  • Trade Blotters
  • Advertising and Marketing
  • Gift and Gratuity Log
  • Check Blotter
  • Signature Guarantee Log (if applicable)