Brokerage Consulting Services:Virtual Principal

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Virtual Principal

What do you do when there is not enough of YOU, or not enough time, to perform all the critical actions needed to run your business? What do you do when you need quick business advice or an unbiased perspective, on a particular problem, or need guidance on issues outside your specific areas of expertise? Who do you call when you need help defusing ticking time bombs?

Brokerage Consulting Services can provide:

	FinOp Answers
	Compliance Answers
	SEC & NASD Answers
	RIA & IA Registration Answers
	CRD and State Registration Answers
	Clearing Firm Issue Answers
	Mentoring of your current staff

Add years of experience to your firm and subtract hours of staff research time. We can provide references that have saved 4 to 5 times our yearly cost on one issue.

Information

For as little as a $500.00 monthly retainer you can contact us on an as needed basis for problems as they arise. We also provide you with a bank of unused hours that can be used for staff mentoring and business planning. Our mentoring and planning sessions can be used in conjunction with your firm element continuing education plan.

Questions?

As a service to our customers and prospects Brokerage Consulting Services will provide you with "the short answer" to your securities industry related questions. Just click here and and type in your question. We will answer by email or phone. If the question falls outside of our short answer constraints we will also offer other solutions for you to get an answer.