Broker Check

How We Support You

Compliance

At Cutter & Company we take our role in compliance seriously. We believe that protecting the firm, and your business, are essential.  We also understand the importance of your marketing and advertising efforts to help you grow your business. Our compliance staff has in depth industry experience, and understands your need to express yourself in your own unique way.  As we review your marketing communications, we work with you to try to provide the flexibility you need, while protecting you from crossing over acceptable industry practices into something that could ultimately get you into trouble.


Marketing and Advertising

Our compliance team will typically have your marketing or advertising submission approved within 24-48 hours. In the situations where content submitted does not meet industry criteria, we will provide you with alternative ideas, in an effort to help you express the message you desire, in a way that is compliant with industry rules. Our goal is to help you promote your products or services your way, while staying within the guidelines of FINRA and SEC advertising rules.


Errors & Omissions Insurance Coverage

Cutter & Company has a comprehensive E & O policy to provide peace of mind and to help protect our firm and our Financial Advisors’ practices. Our E & O coverage also extends coverage to your insurance and investment advisory activities, in addition to your securities business. (Some exclusions apply.) All Cutter & Company Financial Advisors are required to participate in the Errors & Omissions program.


Licensing and Continuing Education

At Cutter & Company, we handle all of our Financial Advisors’ licensing needs, whether for securities, insurance, or registered investment advisory requirements.

Additionally, we’ll take over the responsibility of notifying you when your license is about to renew and when continuing education is required. With the constant introduction of new requirements around continuing education, particularly regarding requirements for long term care, annuities, and now even state specific investment advisory continuing education requirements, let us take some of the confusion and frustration out of the process.

For more information about our firm and the services we offer, send us a quick email or call the office. We would welcome the opportunity to speak with you.

info@cutterco.com   |  1-800-536-8770