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Resources
Compliance
Advisor Professionals, LLC, is committed to assisting your
firm in whatever way we can.
Listed below are some common links that may be helpful
to you. If you
know of additional links that you would find useful, please
contact us at info@complianceadv.com
with any suggestions or comments.
Government
Resources
Securities
and Exchange Commission (SEC):
www.sec.gov
North
American Securities Administrators Association
(NASAA): www.nasaa.org
Prometric
Test Centers:
www.prometric.com
National
Assoc. of Securities Dealers
(NASD): www.nasd.com
Industry
Resources
Investment
Advisor Magazine: www.investmentadvisor.com
Financial
Planning Magazine: www.fponline.com
Registered
Rep Magazine: www.registeredrep.com
Wall Street Reporter:
www.wallstreetreporter.com/
Institutional Investor:
www.iinews.com/
CPA Wealth Planner:
www.webcpa.com/
Investment News:
www.investmentnews.com/
Business
Resource
KNDDesign.com
Website Design:
www.knddesign.com
"When
I needed help establishing my business, I launched a
nationwide search for a compliance solution.
I found a lot of solid candidates, but I knew that a
solution that goes beyond the normal scope of compliance would
make my life simpler and my business more successful.
With this in mind, one choice stood out from the rest,
Ellen Bruno. Aside
from her obvious compliance experience, she demonstrated a
keen business savvy and magnetic personality.
Once I engaged her services, I quickly discovered that
her team possessed a similar level of skills and enthusiasm.
Since then, I've grown ever more impressed with the
team's capabilities and willingness to make my business a top
priority. I
consider myself smart and lucky for finding such a group."
Jack
Brown, CFA
Laureola
Asset Management Company
President
Naples,
FL
"CAP’s
approach to servicing our registration and regulatory
compliance needs far surpassed that of other firms we had been
interviewing. They made us realize that it’s more than just
filing a few forms or printing out a punch list to survive a
SEC audit. They listen, they coach, they’re concerned when
we’re concerned, they make us laugh, and as important as
any, they get the job done right, on time, hassle free. CAP
wanted to set us up to succeed, not just comply. I’m proud
to say they did."
Raymond
Andree
Kitchen
Table Advice, LLC
President
Hampden,
MA
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