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SUPPORT


AN EVOLUTION IN ADVISOR SUPPORT

Exceptional serviceIS A TEAM EFFORT

Providing unmatched service to every advisor begins with our commitment to deliver a boutique experience that prioritizes communication, transparency, and accountability to fuel your growth. Because relationships are not built with a call center. And personalized service doesn’t come from impersonal representatives.

 A dedicated team of Kestra Financial specialists will support your business through all your independent broker dealer needs

Your Service Team is made up of five core units.

Each specialized core unit of your Kestra Financial service team is dedicated to helping you make the most of your independent broker dealer partnership

We call it ourSERVICE TEAM MODEL

You and your staff will work with a dedicated team of Kestra Financial specialists. In effect, they become extensions of your business. Whenever you call us, you will be automatically connected with one of your team members who understands your unique business. Our team approach helps build a consistent relationship where trust and efficiency are paramount.

COMPLIANCE SUPPORT

Maintaining compliance is critical for every advisor. And regardless of experience or familiarity with regulations, knowing there’s a team who supports you is invaluable.

Within your Service Team (and in addition to Kestra Financial’s enterprise-wide compliance services department), there are two units focused on compliance management for your day-to-day operations:

Sales Supervision

Partners work with your firm to help mitigate risk though conducting suitability reviews of commission-based transactions and advisory account establishment

Advertising Compliance

Responsible for advertising reviews and managing your advertising approvals through our custom technology platform, AdvisorComplete

Kestra Financial business consultants work with our advisors on a personal level to get the most out of their independent broker dealer partnership

We’re Here to Support You

Everyone who supports you at Kestra Financial receives extensive industry, communication, and client service training. They comprise experienced teams ready to offer you comprehensive guidance across your business. Whether it’s a day-to-day operation or something more, we are experts in helping you grow with certainty.

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