The goal of our Commissions department is to enable you to easily monitor and track your production. Through our unique Commission Web program, you are able to view all of your commissions when it’s convenient for you. That includes brokerage and direct mutual funds, annuities, insurance, and alternative investments.

You will have access to both the gross and net commission amounts and any fees. You can select filters in the search function, such as a date range, and print the results page. You also can view, print or export your commission statements to a spreadsheet. If you supervise other advisors, Commission Web gives you a branch summary view to track your branch production goal. Updated daily, Commission Web makes it easy for you to see if you’re hitting your goals.

The Compliance department assists our financial advisors in operating and maintaining their offices at the highest level of compliance in accordance with federal and state regulations. The department is fully staffed with licensed and qualified personnel to assist advisors in any compliance-related issues or matters that may affect the operation of their practice.

In this environment of ever-evolving securities regulations, our Compliance department recognizes the importance of continuing education and keeping financial advisors informed of recent developments that may affect the branch offices’ good standing with federal and state agencies, and the public. Advisors’ convenience is paramount in the design and implementation of Continuing Education opportunities, and regulatory news and events are consistently communicated on iStation, First Allied’s single sign-on intranet site exclusively for advisors.

The less time you spend working on administrative items, the more time you’ll have to work with existing clients and attract new ones. In our Operations department, every advisor is assigned to a regional service team that assists them with all things related to operations.

This system streamlines processes by eliminating confusion about who to call, multiple phone transfers to other departments, and the need to engage senior management in urgent matters that require escalation. We know that speed and accuracy are paramount to helping you run your business smoothly and nothing could be more efficient than having a dedicated team to take care of everything for you.

On our Supervision team, we have a dozen regional associate vice presidents (R-AVPs) who lead teams that are assigned to specific regions throughout the United States, which enables them to more efficiently supervise and support our advisors and deliver personal attention and service. They play a major role in guiding the policies and procedures associated with supervising our advisors.

The R-AVPs provide useful guidance on what sales practices to avoid in order to minimize the risk of a client complaint or arbitration. In the event of a regulatory audit of the branch office, First Allied’s R-AVPs can be present to interact with regulatory auditors and lead the branch office through the audit. The R-AVPs travel to each advisor’s office for an initial set-up visit and return as often as needed.