Providence Compliance empowers registered investment advisers with practical, affordable, and fully customized compliance support. Built on nearly two decades of regulatory and consulting experience, the firm focuses on simplifying complex requirements and helping advisers understand their obligations with clarity and confidence. Founder Jaye Faggett brings experience from state agencies, FINRA, advisory firms, and RIA consulting, which enables Providence to bridge the gap between regulatory expectations and real-world advisory operations. Through tailored guidance, personalized training, and thoughtfully crafted compliance documents, Providence helps advisers detect and prevent violations while building a strong, effective compliance foundation.

Providence offers a wide range of services including program development, ongoing consulting, customized documentation, regulatory filings, training, audit support, and flexible service packages for firms of all sizes. Their approach emphasizes education, transparency, and solutions that scale with each firm’s needs. With hourly rates, no long-term contracts, and access to tools like compliance calendars, advisers gain high-quality expertise at a price that fits any budget. Providence Compliance ensures that RIAs have the knowledge, structure, and ongoing support required to stay compliant and grow their business with confidence.

Providence also provides specialized continuing education (CE) for investment adviser representatives (IARs). As a Prometric-approved provider under the NASAA IAR CE model rule, Providence offers practical, regulatory-focused courses across Products and Practices and Ethics and Professional Responsibility, helping advisers meet annual CE requirements while deepening their understanding of marketing rules, emerging products, and everyday compliance risks.