Broker Check

Compliance

Protecting the value of your business

Compliance at Berthel Fisher is approachable, solution oriented, and values your business. We believe our role is to help you protect your practice.

We do this by:

  • Helping you identify potential missteps before they become an issue for your business
  • Offering quick turnaround times for advertising and new business review – for straightforward items it is often the same day
  • Sending out communications on new regulations and the impact to your business
  • Recognizing that your success equals our success

You will find our compliance staff is not only knowledgeable, but friendly and accessible. We have dedicated resources for communication with the public and new business or transaction reviews. The Chief Compliance Officer and your OSJ managers have years of industry experience for you to rely on.

What we are not:

  • We are not a sales prevention department
  • We are not a team with a ‘gotcha’ attitude