Compliance

We’re not in the “sales prevention” business. We’re a sensible, collaborative partner that equips you with the insight for decisions to come, as well as tools to help manage current challenges and opportunities. Your Protect team is your sounding board so that your ideas for transforming your firm get implemented with our backing and support.

Joining our team

When you join Prospera, we want you to be back to business-as-usual as quickly as possible. That’s why we’ve streamlined our registration process to avoid and reduce regulatory delays that can slow up your day-to-day routine.

Compliance

Compliance bureaucracy is non-existent, so answers and approvals are on a fast track—often times same-day.

Auditing

Your practice is a valuable commodity. Unlike most other firms, our audit process is designed to show you what you’re doing right and provide you with ways you can improve and further protect your business.

Due Diligence

Prospera’s approach to due diligence focuses on protecting both you and your clients first. That begins with our selection of a top quality, broad, qualitative product line. Because we think our time and yours is better spent selecting and evaluating quality products right off the bat than defending our choices down the road.

Customer Assistance

Client complaints are an unfortunate, yet unavoidable, component of our litigious industry. But when it happens, we’re here to help. With our proven process, we’ve recorded a highly successful track record in defending our advisors from meritless grievances.