Page 49 - Investment Advisor March 2022
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CLASSIFIEDS
Get on Board the
Winning Train�
START RECRUITING & BRANDING
With the industry’s most credible and Influential.
Call or Email Martha Frechette
213-760-6159 | [email protected]
Investment Management & Securities
OUTSOURCED COMPLIANCE SERVICES
CUSTOMIZED TO MEET YOUR SPECIFIC NEEDS
Services can include: To learn more about how we can help protect your
rm’s interests, or to receive a copy of our latest
• Review and maintain form ADV Compliance Update, contact our Investment
Management & Securities Group Chairman,
• Engage in monthly compliance calls Thomas D. Giachetti, Esq., at [email protected].
• Prepare and submit forms, U4, U5, 13F, 13H and schedules 13D/G
• Prepare and update Policies and Procedures Manual, and assist
with performing its annual review
• • Conduct reviews on email, advertising, and branch offices, and
conduct annual compliance meetings with rm employees
• Determine requirements for, and submit, state notice lings Scan to Join Our Email List
When You Want It Done Right. www.Stark-Stark.com • 1-800-53-LEGAL • 993 Lenox Drive, Lawrenceville, NJ 08648
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MARCH 2022 INVESTMENT ADVISOR 47
