Our Approach

Placing Our Reps First

Avalon’s goal is to work with our representatives and clients in a manner that is mutually respectful, honest, friendly and profitable to all. We do everything in our power to keep our representatives focused on our clients’ needs and help them get where they want to be. Our goal is that each representative will want to call Avalon their home. Some areas of support provided include:

  • Answers to any Compliance related issues, questions, etc.

  • Reviewing advertising, sales literature, correspondence, and outside business activities.

  • Helping you understand and abide by the multitude of policies, FINRA and SEC rules and regulations.

  • Representing and supporting you in complaint situations.

  • Oversight and surveillance including audits.

  • Obtaining materials, including: Compliance manuals, bulletins and forms, Do Not Call regulations & partnering with you in your growing business.


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