FINANCIAL PLANNERS ASSISTANCE CORP

Founded in 1982, Financial Planners Assistance Corp is the oldest compliance consulting practice for investment advisory firms... Jeff formed Financial Planners Assistance Corporation in 1982 during the boom years of new Financial Planners, and wanted to provide support and assistance specifically geared toward the needs of Registered Investment Advisers... We offer both on-site and off-site mock audits which are great for both regulatory examination preparation, get an assessment of your current compliance program (mainly used by new CCOs), and as part of your annual Rule 206(4)-7 review. The typical on-site mock audit lasts approximately 6 hours and you will receive a detailed report of what you are doing right, what you are doing wrong, and what you can do a little better.

Also known as: Financial Planners Assistance, Financial Planners Assistance Corporation

Primary location: East Providence United States