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. I will always treat as confidential any information received by me during discussions for services and during the course of work.

Regarding this website, please understand that the internet is not necessarily a secure medium of communication. Information input on this site or sent through the internet cannot be guaranteed as to its’ privacy. No one will be responsible for any damages you or others may suffer as a result of the loss of confidentiality of any such information. If you are concerned about the security of the internet for the communication of personal information, consider using alternative forms of communication such as telephone, fax, or regular mail. Please review this Privacy Policy frequently as it is subject to change.

This site may use ‘cookies’ or related technology in order to track usage, and in order to improve service.. There is no guarantee or warrant that any part of this site, including files available for download, are free of viruses or other harmful code. It is your responsibility to take appropriate precautions, such as the use of anti-virus software, to protect your computer hardware and software while using the Internet.

References

Please contact me for specific industry references.

 

: Quick Read :

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]

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]

Skill Set

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