Compliance Solutions

Good Compliance Is Good Business

Our dedicated Compliance Team, led by top executives with compliance and legal experience, are committed to helping our advisors meet regulatory requirements, avoid legal pitfalls and conduct business the right way. Equally important, however, we understand the need to be responsive, timely, easy to work with, open-minded, innovative and entrepreneurial in how we approach finding compliance solutions for you. Our Governance, Risk & Compliance (GRC) team serves as a true business partner to Householder Group advisors. We work closely with you, providing the tools and resources you require to run a compliant and successful practice by leveraging:

  • A dedicated team of analysts;
  • Deep industry knowledge and expertise;
  • Hands-on audit and supervisory assistance, and;
  • Automated processes, tools and technology.

Solutions-Oriented Thinking

Unlike compliance departments at many broker dealers, our Financial Compliance Team is committed to using its extensive knowledge of regulations and the law to consider compliance questions and look for solutions to achieve the desired result for each registered representative at Householder Group. Like you, LPL Financial and Householder Group think entrepreneurially and are committed to being open-minded and flexible. We remember that we work for you.

Householder Group and LPL know that our registered representatives are independent business owners and most have successful businesses with significant equity, and know that owning a business in a regulated industry is serious. We offer solutions and options to help our reps play by the rules and maintain good relations with those who regulate. We believe that just makes good business sense – for us and for our advisors.


Join Us In Beautiful Scottsdale, Arizona For A Day Of Discovery

Householder Group offers a distinct value proposition that you will not find elsewhere. We have developed highly-effective, propriety marketing programs and operational systems that are designed to help our advisors become even more successful. We back the success of these programs up with real-life examples and empirical data. In fact, we’re so confident in the effectiveness of our marketing programs
we guarantee the results.