Founded in 1999, Compliance Advisory Services, Inc. is a specialized consulting firm dedicated to helping broker-dealers and investment advisers navigate the complex maze of securities regulations. The company offers a range of services including new firm registration with FINRA and the SEC, ongoing compliance support, annual compliance reviews, anti-money laundering (AML) independent testing, and support during regulatory examinations. Their mission is to provide expert, tailored solutions to ensure their clients maintain regulatory compliance effectively.

Founded in

United States