Services
Initial call
Training and educational seminars
Consulting on boarding call
During this inquiry I would like for us to have a conversation about the services I provide. It is best during this time to see if I am a good fit for your firm. I would like to keep these conversations to about 20 minutes to focus on the services I can provide to you and to answer your questions efficiently.
Consulting on boarding call
Training and educational seminars
Consulting on boarding call
Once you have decided come on board, I will conduct an in-depth background interview with your firm. During this process we will ask questions to determine what we need to address from a compliance standpoint. This interview will take about an hour and it is for this reason, we would want to have it after the markets close or during the
Once you have decided come on board, I will conduct an in-depth background interview with your firm. During this process we will ask questions to determine what we need to address from a compliance standpoint. This interview will take about an hour and it is for this reason, we would want to have it after the markets close or during the weekend, to not disturb your business. Our goal is for this compliance interview to not remove your staff from your clients. For this reason, we highly encourage these calls to be conducted on the weekends, so that your staff is not burned out at the end of the workday. The call is about an hour, can be conducted from your home, and you will not need to provide any documents prior or during our call. After the interview we will request documents which you can provide on a rolling production. We will review the documents and provide you with corrections and any explanations. Again, our goal is for compliance to not take up a large part of your business.
Client request call
Training and educational seminars
Training and educational seminars
During our relationship with your firm, you will always have the opportunity to reach out and ask any question. If you would like to meet with me for an extended period of time you can set that a call here. There is no extra charge for these types of calls.
Training and educational seminars
Training and educational seminars
Training and educational seminars
I am able to provide training and educational seminars on compliance related items to your staff at your request. There is a separate fee for this. The fee varies.