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We comply with all advertising rules promulgated under the Investment Advisers Act (IAA) and issued by the Financial Industry Regulatory Authority (FINRA). Our internal policies articulate guidelines and review processes to ensure that all communications are clear, accurate, and fair and balanced, in compliance with applicable standards.

In addition to conforming to the regulations defined by the IAA and FINRA, all materials are reviewed and approved in advance of publication. These include the following:

  • Any written communication addressed to more than one person
  • Any published or broadcast notice
  • Any analysis or report concerning securities distributed to more than one person
  • Any graph, chart, formula or other device used to solicit the purchase or sale of a security or that offers any other investment advisory service related to securities

Our product distribution teams are staffed with people who are licensed through FINRA and undergo extensive background checks. We endeavor to ensure that our sales force is educated, competent and ethical. Each is held to our Code of Business Conduct and Ethics Policy.

Victory Capital has policies and procedures in place regarding the Investing and Retention of Qualifying Employer Securities, and Transactions Involving Parties in Interest. It is the policy of Victory Capital to monitor transactions in employee benefit accounts defined in Section 3(2)(A) of ERISA to ensure we properly invest on behalf of benefit plan investors.

Serving with purpose

We are proud to serve your investment needs. Our Representatives are available to provide portfolio planning, education savings services and general investment guidance. Please contact us. We’re here to help you find the right investment solutions for you, your family and your future.

Connect with Victory Capital

Contact the Relationship Managers in your region to learn more about Victory Capital. 

Connect with Victory Capital

Our Institutional Relationship Managers welcome your inquiries!