Compliance & Legal

IFP believes in providing a balanced approach to compliance oversight. This means we strive to keep your firm compliant while maintaining an open mind.

New Age Compliance Technology

Our firm leverages Beam Solutions (“Beam”) for AML supervision and trade surveillance. Beam goes beyond current legacy compliance systems by leveraging machine learning and AI to monitor advisor and client activities.

Solutions and Context

Rather than giving a blanket denial, we attempt to find an amicable solution to your request. If we can’t, we will provide the rationale and regulation, where applicable, that support our decision. We believe that the word “no” should be our last resort.

Customized Compliance and Logical Guidelines

Large firms often rely on broad surveillance rules that put every advisor in the same box. IFP strives to provide individualized compliance oversight, allowing you to spread your wings while remaining compliant.

Legal Resources

Advisors have a number of legal needs for their clients. To address this, we’ve created a 'Bank of Experts' consisting of estate planners, trustees, and ERISA attorneys at pre-negotiated hourly rates. When you need help, we’ve got you covered.

IFP Compliance Support

The IFP compliance department provides regulatory oversight to our network of financial advisors through an educational approach.

Rowena Ferry

Senior Associate, Registration & Licensing

Betty MacDonald

Senior Associate, Supervision

Maria Tanner

Senior Associate, RIA Compliance

Lindsey Michel

Senior Associate, Supervision

Compliance Risk Concepts Compliance Support

Compliance Risk Concepts (CRC) provides compliance and supervision support and services to Independent Financial Partners (IFP) and its network of financial advisors. CRC and IFP are separate entities.

Mitch Avnet

Broker-Dealer Strategic Compliance Advisor

Roland Reyes

Broker-Dealer Compliance Advisor

Jaclyn Bowdren

Broker-Dealer Compliance Advisor

Gene Murphy

Senior Compliance Officer

Tim Gibson

Surveillance and Monitoring Analyst

Vicki Vasiltsova

Compliance Analyst

Alexis Wiedeman

Senior Compliance Analyst

Stacey Lavender-Meyes

Senior Compliance Analyst

Scott Brown

Senior Compliance Analyst

Ashley Latourelle

Senior Compliance Analyst

Join IFP today.

Latest Blog Posts

Diminished Capacity in Senior Markets

July 5, 2018 | Author: Tim Moyer

Seniors exhibiting signs of diminished mental capacity are one of the most troubling and sensitive issues advisors face. If this happens, a client may no longer be capable of making his/her own financial decisions. A study by the National Institute on Aging revealed that impaired cognition affects approximately 20% of people aged 85 years and …

Building the Blog of Your Dreams

January 3, 2017 | Author: Max Griendling

Before I was the gatekeeper for everything involving content at IFP, I worked at a marketing agency in Tampa. While I worked there, it was my sole responsibility to ensure that each time a client started a blog, it hit the ground running and continued to captivate their target audience for years to come. In …

3 Ways to Make Your Office Inviting

December 29, 2016 | Author: Max Griendling

The other day I walked into a financial advisor’s office and was immediately meet with wall pattern designs from the 90s, drop-out ceiling tiles, and a bowl full of Werther’s Originals chilling on the counter for good measure. While I appreciate the trip down memory lane to the early 2000s when I was waiting for …