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If you are the Owner, CEO, President, Chief Compliance Officer - even the person in charge of marketing - you have a burden to comply with the securities laws. The Consortium will lift that burden off your shoulders.
The Consortium offers comprehensive services and solutions to Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Financial services firms are subject to federal (SEC), state, and self-regulatory organization (FINRA) securities regulations.
Protect your license and reputation - avoid compliance deficiencies - steer clear of regulatory fines. Our team will work with you offering hands-on consulting, or you can select from a menu of easy-to-use do-it-yourself compliance tools.
Clients include investment managers (money managers, portfolio managers), financial planners, wealth managers, investment advisors, and broker/dealers.
When you engage The Consortium, you are tapping into the community of goods brought to you through the expertise of Nancy Lininger, John Carr, and Todd Sakoda. This consortium brings together the body of knowledge of compliance, practice management, and marketing through years of industry experience. Together, we have hands-on experience in sales, marketing, and compliance.
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