1. Eligibility for Referral Compensation:

• Referral fees or compensation can only be paid to individuals or entities registered with FINRA or those who meet applicable regulatory requirements to receive such payments.
• Non-registered individuals or entities may participate in our referral program but may not receive monetary compensation unless specifically allowed under regulatory guidelines.

2. Written Agreements:

• All referral arrangements are documented through formal agreements. These agreements clearly outline the terms of the referral, including the scope of the relationship, compensation structure, and roles of each party.

3. Fair and Reasonable Compensation:

Compensation provided for referrals is structured to comply with FINRA’s rules on fair practices. Referral fees are reasonable and proportionate to the services provided.

4. Disclosure:

We maintain full transparency with all parties involved. Both the referrer and the referred business are informed about the referral arrangement, ensuring there is no conflict of interest.

5. Compliance with FINRA and Regulatory Standards:

Our referral program is designed to meet all applicable FINRA rules, including requirements related to disclosures, fair practices, and maintaining the integrity of financial transactions.

Join Our Network

If you know of a business that could benefit from our advisory and brokerage services, we invite you to refer them to us. By partnering with The Advisory, you can trust that we will uphold the highest standards of professionalism and ensure a seamless, compliant referral process.

For more information about our referral program or to discuss a potential referral, please contact our team. Together, we can help businesses achieve their full potential.