WestStar Financial Group
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WestStar Financial Group

Compliance

Compliance Quick Reference Sheet 2018

Compliance Book & Records - Part I

Compliance Book & Records - Part II

Investment adviser representative and registered representative of, and securities and investment advisory services offered through Voya Financial Advisors, Inc. (member SIPC)

Federal and state insurance and securities rules and regulations prohibit registered representative(s) and/or investment adviser representative(s) from soliciting, offering and selling any insurance or securities products or providing investment advice until they are properly registered and licensed in each state jurisdiction.

* Investment adviser representative and registered representative of, and securities and investment advisory services offered through Voya Financial Advisors, Inc. (member SIPC) WestStar Financial Group, LLC is not a subsidiary of nor controlled by Voya Financial Advisors

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