Hiring a Securities Expert or Consultant..

is an important process.  Whether it is to assist a Firm with internal reviews and responsibilities, or to determine if fiduciary duties have been fulfilled.  It helps to have someone with experience who has met those responsiblities and understands the duties of supervisors and registered employees. Whether it involves meeting your regulatory & SRO obligations, or identifying a fraudulent activity, a Securities Expert can assist.

All Services are contracted.

Only after careful communication and agreement will we offer a contract.  It will provide that all services will be CONFIDENTIAL and will identify the tasks and time frame per your needs.  Depending on the task(s) it will be billed on an hourly basis, although there are situations that can be contracted for a flat fee.  Estimates are available.

How do we exchange information?

First, do NOT send any confidential information via the "Contact Us" form.  Next, once we've had a discussion and identified your basic needs we may need pdfs, discs or access to your data server.  However, nothing will move forward without a contract.

How is payment made?

A retainer is due at time of contract.  Payments may be made by check or  Paypal.  Payments are overdue within 10 working days from submission of an invoice.