At Your Securities Consultants, LLC, we place a premium on providing excellent products and services with exceptional customer service for a reasonable price. Outsourcing to our proven experts in compliance, operations, finance and legal issues gives firms a better alternative to the high cost of maintaining expertise in niche areas of firms, without the expense of a large consulting firm. As a boutique firm, we customize solutions to meet the needs of our clients throughout the U.S.

 

With expertise in numerous business lines and departments, all of your needs can be met with a single outsourcing relationship. Our team continually works with SEC, FINRA and state securities regulator staff to keep abreast of the latest regulatory rules, trends and priorities.

 

Call us today to see if we are the solution to your outsourcing needs.

Compliance Services

  • AML Evaluation and Assessment
  • Mock Regulatory Examinations
  • Written Supervisory Procedures
  • New Membership Applications
  • Branch Office Inspections

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Legal Support Services

  • Misrepresentation and Omissions
  • Unsuitability
  • Overconcentration
  • Churning
  • Failure to Execute Trades

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Regulatory Services

  • Independent Consultant for AWC Agreements
  • Expert Witness in Regulatory Complaints
  • SEC and State RIA Registration and Compliance
  • Continuance in Membership Application