Compliance & Risk Management

LFA is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and registered investment advisor. They are also a member of the Financial Industry Regulatory Authority (FINRA) and the Security Investment Protection Corporation (SIPC). As such, LFA adheres carefully to the laws and rules of these organizations and assists its employees and registered representatives in complying with these rules and regulations by setting forth standards of conduct and procedures which must be followed in conducting business. Just as your clients count on you to be there for them, Nexus and LFA provides timely and knowledgeable support for you by supplying the expert guidance you need to deal with the ever-changing regulatory landscape. At Nexus Financial we don’t just understand what you have to do to follow securities laws and regulations, we understand what you do every day for your clients.