Hiring a Securities Expert or Consultant is an important process to be made with thoughtful consideration.  Whether 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 responsibilites and understands the duties of supervisors and registered employees. A Securities Expert can assist with helping you meet your regulatory & SRO obligations, or identifying a fraudulent activity.

Some information on how our Services for a Securities Expert Works:

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 will request information.  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.

For more information please use our CONTACT form .