How can we help?
That is the first question we ask. The responses vary.
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"Our operations are not going well."
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"I want to start a new investment adviser."
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"I need to optimize my operations."
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"I want to buy a broker-dealer."
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"Help! My Chief Compliance Officer is leaving."
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"We need ongoing support for our in-house compliance team."
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"We need project-based consulting to help save us some time."
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"We need assistance reducing operational errors and inefficiencies."
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"I need help addressing deficiencies in a FINRA (or SEC) examination report."
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"We need someone to do an independent AML audit."
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"The SEC (or FINRA) just passed this new rule. What do I need to do?"
It starts with a conversation. We learn more about you so we can offer solutions. You learn more about us so we can establish a great relationship.
About Us
Cerulean Securities Compliance, LLC has been delivering customized compliance and operations solutions to our clients since 2008. Since the beginning, we have delivered a high level of service that our clients value and appreciate. We take pride in partnering with our clients to implement compliance and operations solutions that meet their specific needs.
Quick Contact
Please send us a quick note to ask a compliance question or set up a time to discuss your consulting needs. We look forward to hearing from you!