The Consortium (Financial Services Compliance)
金融服务
Lake Oswego,Oregon 20 位关注者
We will lift the burden of compliance off your shoulders.
关于我们
If you are the Owner, CEO, President, Chief Compliance Officer - even the person in charge of marketing - you have a burden to comply with the securities laws. The Consortium will lift that burden off your shoulders. The Consortium offers comprehensive services and solutions to Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Financial services firms are subject to federal (SEC), state, and self-regulatory organization (FINRA) securities regulations. Protect your license and reputation - avoid compliance deficiencies - steer clear of regulatory fines. We work with you offering hands-on consulting, or you can select from a menu of easy-to-use do-it-yourself compliance tools. Clients include investment managers (money managers, portfolio managers), financial planners, wealth managers, investment advisors, and broker/dealers.
- 网站
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https://liftburden.com/
The Consortium (Financial Services Compliance)的外部链接
- 所属行业
- 金融服务
- 规模
- 2-10 人
- 总部
- Lake Oswego,Oregon
- 类型
- 私人持股
- 创立
- 1989
- 领域
- RIA compliance和Investment advisory compliance
地点
-
主要
5285 SW Meadows Rd
Ste 199
US,Oregon,Lake Oswego,97035