Page 49 - Investment Advisor July/August 2022
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                                           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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