Services

What We do

new york, broadway, wall street

BROKER-DEALER

COMPLIANCE SOLUTIONS

We specialize in providing Ongoing Compliance and Regulatory Services to Broker Dealers in all phases.  From newly forming a BD or looking to buy a BD we will assist you in those areas that are important and help manage your expectations. 

We also provide ongoing consulting on an annual contract or per project.  Our fee schedule is extremely competitive and our service goes beyond every other firm out there.  

REGISTERED INVESTMENT ADVISERS

COMPLIANCE SOLUTIONS

State registered or SEC registered,  we offer a series of services that range from compliance consulting to full outsource compliance.  We bring your RIA into the fold of our services to ensure that you can focus on what is important to you.  Your clients.

 
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