Broker Check

How We Support You

Practice Management 

Through our relationship with First Clearing¹, we offer Financial Advisors that qualify (minimum production and clean compliance record required) access to The Growth Accelerator® program.  This program is designed to provide a suite of integrated tools, theory and best practices that will help you take your business to the next level.

The Growth Accelerator® program connects you to resources such as professional development offerings, practice management reviews, and ongoing one-on-one coaching to help you fully leverage products and the technology platform.

Consider the Growth Accelerator® program if your goals include strengthening client relationships, increasing the efficiency and effectiveness of your practice, and accelerating the pace of attracting additional clients.

 ¹First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.
Growth Accelerator® is a registered service mark of Wells Fargo & Company and used under license.


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 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 specific requirements if you offer municipal securities, 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