Sound Advice Financial is a member of Advisory Services Network, LLC, an Atlanta-based Registered Investment Advisor.
ASN is an Atlanta-based Registered Investment Adviser (RIA) which registered with the U.S. Securities and Exchange Commission in 2010. As of January, 2015, ASN has 29 offices and serves clients in 27 states.
Advisory Services Network provides the infrastructure, service and operations team, and the technology compliance and regulatory infrastructure to operate the business so that we can focus on what’s really important – you! Essentially, it provides us back office functions so we can maintain focus on your goals and financial health.
Regulatory Record-keeping is a part of the Compliance and Oversight functions provided by Advisory Services Network. It consists of:
- Policies covering all investment-related activities
- Review of account transactions and asset allocation to ensure they are in alignment with the stated client goals and objectives as listed in the Client Agreement
- Control and review of money movement activities, whether between accounts at the custodian or between the custodian accounts and client’s other external accounts
- Monitoring frequency and thoroughness of client account reviews
- Review of all incoming and outgoing client communications, of all forms
- Maintaining copies of all correspondence and client records per SEC and FINRA regulatory requirements, (i.e. 7 years in a searchable format to be provided to the regulators)
- Pre-approval and monitoring of all Outside Business Activities, as defined by the regulators
- Pre-approval and monitoring of all client gifts and expenses as defined in the regulations