Episode 57 – Benefits of Working with an Organization That Has Strong In-House Compliance – With Mike Alsoraimi

Power Your Advice

English - November 30, 2021 14:00 - 16 minutes - 37 MB
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Mike Alsoraimi is the Co-Chief Compliance Officer for Kingswood Group U.S., An SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor In today’s episode, Doug and Mike talk about the complexity of managing compliance across Kingswood’s two Broker-Dealers and two RIAs. They also … Continue reading Episode 57 – Benefits of Working with an Organization That Has Strong In-House Compliance – With Mike Alsoraimi →