All posts by karen

FinOp & Financial Compliance Solutions

Understanding the unique accounting requirements of a broker dealer is extremely important to maintaining the continued good health of your firm’s compliance program. Compliance Advisers can help you meet the special accounting needs and challenges of securities firms through one of our customized financial compliance solutions

Investment Adviser Compliance Solutions

  • Registered Investment Advisor Services

    • Investment Advisor Registration
    • Compliance Manuals
    • Compliance Consulting
    • Completion or review of Form ADV
    • Completion or review of Advisory Contracts
    • Annual Renewal of the Form ADV
    • Notice Filings
    • Mock IA Compliance Exam
    • Web IARD/CRD Services
    • Written Supervisory Procedures Manual – Customized
    • Written Supervisory Procedures Manual annual updates
    • State Registration Applications
    • General Compliance Consulting

Registered Investment Advisor SEC and State Registration Services:
Compliance Advisers will expertly and efficiently manage the full registration of your Registered Investment Advisor whether SEC or state registered.

Compliance Advisers also provides ongoing customized compliance solutions as you begin to operate your newly-approved registered investment adviser.

Careers

Be a part of a great company with great opportunities. Compliance Advisers is always on the lookout for driven, qualified people who seek new opportunities in the securities industry. Please stay posted for new and upcoming openings with Compliance Advisers. Thank you for your interest.

Broker/Dealer Registration

The most comprehensive, all-inclusive registration package offered in the industry…we specialize in managing the entire process for you.

New Broker/Dealer Registration-The expert staff at Compliance Advisers assists its clients through each step of the application process–from developing your customized Business Plan according to FINRA guidelines & unique to your business