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.

Melissa Loner

Chief Compliance Officer

Rowena Ferry

Senior Associate, Registration & Licensing

Betty MacDonald

Senior Associate, Supervision

Maria Tanner

Senior Associate, RIA Compliance

Lindsey Michel

Senior Associate, Supervision

Jennifer Johnson

Senior Analyst, Compliance

Scott Connolly

Compliance Associate

Thomas Newberg

Compliance Associate

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Latest Blog Posts

Diminished Capacity in Senior Markets

July 5, 2018 | Author: Chris Hamm

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: Chris Hamm

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: Chris Hamm

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 …