Nancy Lininger is a "Professional Weightlifter."™  I help lift the burden of compliance and marketing off the shoulders of financial services firms.™

Click on the picture to learn more about Nancy lifting the weight off your shoulders

Managing a financial services firm is very exhilarating, but not an easy task.  Your company faces two tough problems -- how to market your services effectively, and how to comply with the maze of securities regulations.  Can both be accomplished harmoniously?  This is the challenge that The Consortium has worked on and solved with companies like yours.

RETAINER SERVICES

The perfect assignment is of an on-going relationship to solve multiple specific problems relating to Broker Dealer and/or Registered Investment Advisor compliance, marketing, and practice management.  I work with a small nucleus of clients who choose to have me on annual retainer as a “Compliance Officer” and “Marketing Manager” on call.

The retainer gives you direct access to Nancy Lininger.  As a core client you will receive the CompliancE-News, CompliancE-Alert, and access to all compliance resources (research and forms).  In order to provide quality service to retainer clients, I limit the number of clients and do not handle consultations by the hour.

RIA COMPREHENSIVE DOCUMENT PREPARATION

Turn-key registration and start-up service includes Form ADV, Client Advisory Agreement, Written Supervisory Procedures (Compliance Manual), registration or notice filing in state of domicile, record keeping requirements, and more.

ANNUAL RIA UPDATE

Your Form ADV, Client Advisory Agreement, and Supervisory Procedures are updated on our computer for changes in your company, as well as for regulatory updates. Available only if your Form ADV resides on our computer as provided under the Comprehensive Document Preparation.

FORM ADV REVIEW

The Consortium provides extensive written guidelines and specific commentary for the update of your Form ADV and Client Advisory Agreement. Includes other RIA support services.

RIA SUPERVISORY PROCEDURES

The Written Supervisory Procedures ("WSP" aka Compliance Manual) is custom-made for your unique operations.

BROKER/DEALER START-UP

Turn-key registration and start-up service includes all registration paperwork (Form BD and other NASD forms), U-4's of principals, Compliance Manual, Continuing Education Plan.

BROKER/DEALER COMPLIANCE MANUAL

The Compliance Manual and Written Supervisory Procedures are custom-made for your unique operations. Includes sales policies for Registered Representatives and internal written supervisory procedures for home office staff.

STATE REGISTRATIONS

Registration (or state notice filings) for BDs and RIAs.

MOCK AUDIT

Have a review of your operations done before the real auditors show up.

MARKETING PLAN

We discuss your marketing strengths, weakness, and opportunities. You set priorities for your marketing efforts and where we will focus attention. I will prepare a marketing outline and fill in the outline with very specific ideas based on our discussions and your needs. When the marketing outline is delivered, you may immediately begin to use some of the specific ideas presented, adapt suggested ideas to fit your style, or even fill-in with new ideas of your own. We fine-tune the information by meetings via phone, fax, and e-mail. A "final" Marketing Plan will be developed by you, which will contain hard information you will be able to produce results with. (Marketing Plans are dynamic and should be updated annually or as otherwise needed.)

MARKETING BROCHURES

The Consortium knows your business. You will save valuable time and money by having an industry insider draft your PR. I will undertake a data gathering session to get to know your preferences. Your text and a rough layout will be delivered as a first draft so that you can visualize how the information will flow. Ideas for graphs and design are presented. Based on your comments, revisions will be made to create the final draft. You have implementation choices to make; fast-service printers who can insert clip art, graphic designer for a more professional image and value-added services, or printing direct from the computer to "blank" ready-made color graphic brochures.