CS2 COMPLIANCE

At CS 2 we require that our consultants have experience in senior leadership roles in the investment adviser and/or broker-dealer space; our consultants have been Chief Compliance Officers responsible for supervising large teams of advisers. All have other industry experience as well, including as advisers, managers, operations professionals and more. This means that our consultants have extensive experience in the development and real world execution of a broad range of supervisory procedures, and equally as important, they understand the business our clients are engaged in. When you're shopping around -- and we hope you do! -- ask our competitors how many RR/IARs they have supervised at any one time... Spoiler alert: if they had anything close to our experience, they wouldn't be making an hourly wage to answer phones!... Since our founding in 2008, our clients have included investment advisor firms of all sizes, hybrid RIA/broker-dealer firms, bank-owned investment programs,..