Areas of Expertise ::.

FINRA Conduct Rules

Investment Adviser's Act of 1940

SEC 1933 and 1934 Acts

Regulatory Integration of Brokerage and Investment Adviser Activity

Brokerage Supervision

Regulatory & Internal Audit Management

Operational Processes and Systems

Global Custody & Securities Settlements

Financial Planning Services

Wrap Products

Product Due Diligence

Retail Mutual Fund Sales

Variable Insurance Product Sales

Limited Partnerships/Structured Product

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Privacy Policy

I am committed to maintaining the highest level of confidentiality in all conversations and dealings with prospective clients, clients, partners, affiliates and strategic alliances.[Click for More]

Services / Skill Set

BD and RIA mock regulatory examinations, SEC and FINRA
FINRA Rule 3012/3013 Testing and
Reporting
Investment Adviser’s Act Rule 206(4)-7 Review
Routine Branch And OSJ Audits

Fostering a culture of compliance by the effective dissemination and communication of regulatory requirements and compliance strategy, policy and processes.[Click for More]

Areas of Expertise

FINRA Conduct Rules
Investment Adviser's Act of 1940
SEC 1933 and 1934 Acts
Regulatory Integration of Brokerage and Investment Adviser Activity[Click for More]