For many advisors, the role they’ve accepted is more than just a job, it’s a higher calling. This most noble position helps investors guide their future posterity with every financial decision made. So, before you make those decisions on your client’s behalf, you should be asking yourself “Is this in the best interest of my client”? Some decisions are tougher than others, and at times, you may find yourself in need of assistance. At Orion, we provide more than just cutting-edge technology. We’re an extension of your back office, ready and willing to help with all of your client needs.
We’re taking our spirit of service to a whole new level! The Orion Compliance Team has been added to our long list of Subject Matter Experts (Trading, Billing, Reporting, Cost-Basis), here to help you face everyday challenges and grow your business. You can now contact the Orion Compliance Team if you have questions about:
- Setting up a database for SEC ADV filing
- Running a 13F Report
- Finding households by state
- And much more!
Our Compliance Team is ready to speak with you now! Feel free to contact the Compliance SME Team via phone, email, or chat function.
If you would like to enable chat functions:
Navigate to the Manage Users App.
Navigate to Roles > Edit Role > Privileges > Advanced
Resource > Chat Compliance > Enable Chat Compliance > Save*
The Orion Compliance Team may also be contacted via phone at 402.313.4168 or email: firstname.lastname@example.org
*Note, an advisor admin will need to perform this task.