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Highly Successful Consulting Firm Needs New CEO Owner

For Sale in CA

Listing ID: LA04612 | Broker Listing ID:

Financial & Assets Details


About the Business

Business Description

For over 30 Years, this consulting firm has been overseeing broker dealers, fund of funds, RIA’s, (FCM’s) Futures Commissions Merchants, CTA and CPO, Municipal dealers, fintech service providers, and Hedge funds regulatory compliance and principal services, including Finop requirements.  Supplying the successful level of regulatory compliance for over 400 varied clients throughout the United States in its history. Specialties include Finop, compliance, audit and regulation oversight and operational back office management. Additionally, the firm consults new firms when registering themselves and navigating the process with FINRA, NFA and the SEC via the NMA and CMA: New membership application and continuing membership.   Consulting in all aspects of Broker Dealer/RIA business: AML, Procedures, Testing, etc.  This is a wonderful opportunity for a risk management and consulting firm with appropriate licenses to grow their business via acquisition.

Listing ID: LA04612

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