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Marketing helps me grow my practice. I need to get my message across without crossing the line.


At Cutter & Company we take the role of compliance seriously. We believe that protecting the firm and your business are essential – but also understand the importance of marketing and advertising. Our compliance staff, with over 40 years of combined experience, understands your need to express yourself in a personal way. In our reviews, we work with you to try to provide the flexibility you need, while protecting you from crossing over into something that could ultimately get you into trouble.

Marketing and Advertising

Our compliance review process can typically have your marketing or advertising submission approved within 24-48 hours. In the situation where content submitted does not meet industry criteria, we will provide you with alternative ideas, in an effort to help you express the message you desire, in a way that is compliant with industry rules. Our goal is to help you promote your products or services your way, while staying within the guidelines of FINRA advertising rules.

Errors & Omissions Insurance Coverage

Cutter & Company has a comprehensive E & O policy to provide peace of mind and to help protect our firm and our Financial Advisors’ practices. Our E & O coverage also extends coverage to your insurance and investment advisory activities, as well as your securities business. (Some exclusions apply.) All Financial Advisors are required to participate in the Cutter & Company Errors & Omissions program.


At Cutter & Company, the same department handles all of our Financial Advisors’ licensing needs, whether for securities, insurance, or registered investment advisory requirements.

Additionally, we’ll take over the responsibility of notifying you when your license is about to renew and when continuing education credits are needed. With so many newer requirements around continuing education, particularly regarding requirements for long term care and annuities, let us take some of the confusion and frustration out of the process.

You get one-stop, efficient licensing handled by our experienced staff. We have the contacts to get it done so it doesn’t become a stumbling block for conducting your business.

Cutter & Company is registered as a broker-dealer in nearly every state in the US, with the exception of Hawaii and Rhode Island. Our investment advisory and insurance divisions are each registered in approximately 20 states and are willing to expand our registrations as necessary.