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We partner with the following types of entities Capital Acquisition Brokers (CABs), Institutional Broker-Dealers, Limited Purpose Broker-Dealers, Institutional Investment Advisers, Impact & ESG Investment Advisers, and Private Fund Investment Advisers.
BUILDING CONNECTIONS,
FORGING PARTNERSHIPS.
FINRA and SEC Examinations Support
Broker-Dealer New Membership Applications
Broker-Dealer Continuing Membership Application
Anti-Money Laundering Examinations
Enterprise Risk Assessments
Enterprise Conflicts of Interest Assessments
Mock Examinations
Outsourced Compliance Support
Outsourced Chief Compliance Officer
New Chief Compliance Officer Support
CONSULTING SERVICES
MEET OUR CONSULTING TEAM
YOUR PARTNERS
PARTNER
Hope
Newsome
SENIOR CONSULTANT
Samantha
Osbourne
MANAGING PARTNER
Hope
Newsome, Esq.
SENIOR ASSOCIATE ATTORNEY
Samantha
Osbourne, Esq.
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