Reducing the Compliance Burden for Advisors

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About This Episode

With a history spanning nearly 40 years and a mission to cultivate meaningful relationships, Grove Point Financial, a boutique broker-dealer and RIA solution with large firm resources, serves over 500 financial professionals across the country and prides itself on its nimble, visionary, and forward-thinking approach to client service. It is a partnership of professionals who share the passion and strength to grow independent businesses that serve the clients and the communities in which they operate. Its highly engaged leadership listens to advisors and evolves to serve them better.

About Our Guest

As Executive Vice President and Chief Compliance Officer of Grove Point, Jason Albino is responsible for all aspects of compliance, as well as accounting and compensation functions for the firm. Jason joined Grove Point in 2018, bringing over 20 years of compliance experience that includes a background in building surveillance, advisory, and branch exam programs, with a focus on common-sense, risk-based compliance solutions.

Show Notes

Here is a link to the Grove Point Financial web site. Here is a link to the podcast I did with Michelle Barry, the president of Grove Point Financial, in May.

Securities offered through Grove Point Investments, LLC, member FINRA/SIPC. Investment Advisory Services offered through Grove Point Advisors, LLC. Both are subsidiaries of Grove Point Financial, LLC