Home

Home
Consulting Services
Speaking
References
Products
Reflections
Free Resources
Free CompliancE-Post
Request Information
CompliancE-News
Go to CEO--The Book
Contact Nancy

Registered Investment Advisors and Broker/Dealers face two tough problems:

bullet How to market effectively
bullet How to comply with the maze of securities regulations

The Consortium provides solutions to this balancing act
 
bulletClients include Financial Planners, Money Managers, Investment Advisors, and Broker/Dealers
 
bulletThe Consortium renders compliance, practice management, and marketing assistance
 
bulletOne-person operations as well as large national firms have used our services
 
bulletAn ideal client calls before the crisis happens to prevent one from happening
 
bulletThe perfect assignment is of an on-going relationship to solve multiple specific problems

Start-up Services get firms through registration and red tape in all jurisdictions

Tune-ups include mock audits, compliance manuals, and continuing education

Low-cost high-impact marketing campaigns are developed through coaching firms.

WHAT (WHO) IS THE CONSORTIUM?

When you engage The Consortium, you are tapping into the community of goods brought to you through the expertise of Nancy Lininger.

Generally thought of as an association or joint effort, this consortium brings together the body of knowledge of compliance, practice management, and marketing through the years of industry experience of its founder.  Nancy Lininger has hands-on experience in sales, marketing, and compliance.

Nancy Lininger, Founder/Consultant, has worked in the Financial Services Industry since 1978. Starting on the sales side as a Stockbroker, she transitioned to a Compliance Officer for a Broker/Dealer and Registered Investment Advisor. Nancy is often quoted in the trade journals and speaks at industry conventions on Success Strategies, Marketing, and Compliance.

The Consortium is built on 100% referrals. Because the quality of work is nationally recognized in the industry, the demand for consulting time is high. "Pre-engagement" consultations are subject to billable time.

You can email Nancy at Nancy Lininger

P.O. Box 2682
Camarillo, CA 93011-2682
(805) 987-6115

Privacy Notice
 

Home - Consulting - Speaking - References -  Products - Reflections - Free Resources -  Free CompliancE-Post - Request Info - CompliancE-News - Go to CEO--The Book - Contact Nancy