Helping protect your practice. We're with you.
You've been in the business long enough to know that staying compliant in today's regulatory environment can be a challenge. But as a business owner with Wachovia Securities Financial Network, we hope you will rest a little easier knowing that our Sales Supervision team is solely dedicated to helping make sure your practice is protected. These experienced professionals stay current on changes in industry rules and regulations and are there to help you through annual compliance audits. And as part of your affiliation with us, your practice will also be protected by a required errors-and-omissions insurance policy.
Doug Dorsey launched Chesapeake Asset Management in 2007.
Hear his take on Independence with FiNet
Oct 1, 2008
John Peluso Writes To The Editor of Registered Rep
"The August 2008 article by Halah Touryalai concerning the SEC proposal to amend Reg S-P misrepresents the position of Wachovia Securities as it relates to the independent contractor business."  >>
FOR INVESTMENT PROFESSIONAL USE ONLY – NOT INTENDED FOR USE WITH THE GENERAL PUBLIC.
Wachovia Securities is the trade name used by two separate, registered broker-dealers and nonbank affiliates of Wachovia Corporation providing certain retail securities brokerage services: Wachovia Securities, LLC, Member NYSE/SIPC, and Wachovia Securities Financial Network, LLC, Member FINRA/SIPC. Chesapeake Asset Management is a separate entity from Wachovia Securities and Wachovia Securities Financial Network.