Securities Consulting Group, Inc.

                                                    Established 1987

What We Do

BROKER/DEALER REGISTRATION

INVESTMENT ADVISER REGISTRATION 

FUTURES FIRM REGISTRATION

WRITTEN SUPERVISORY PROCEDURES MANUAL AND PLANS

SRO STYLE EXAMINATION OF BROKER/DEALER and  INVESTMENT ADVISERS

PREPARATION OF BOOKS AND RECORDSand ELECTRONIC REGULATORY FILINGS

STATE REGISTRATIONS

COMPLIANCE and REGULATORY CONSULTING(S.E.C., STATE and S.R.O. Individual/Firm, AML testing, CMA Applications and SRO Materiality Consultation)

FINDER FOR BROKER-DEALER BUY/SELL

SCG can refer you to qualified registered personnel, attorneys and accountants, or work with professionals of your choice.  If you require further information, please feel free to contact us.

Fee structure 

We charge a flat fee or an hourly fee based on the service(s) required, discounts available. We provide experienced, professional and knowledgeable service at a competitive price.

Hours of operations

We are available Monday - Friday, during regular business hours.