Securities Compliance Advisors, LLC
(866) 526-3555
info@secadvisors.com
  • Regulatory

    Compliance

    Securities Compliance Advisors, LLC is a leading regulatory consulting firm providing compliance and registration products and services to broker/dealers, investment advisers, family offices, hedge funds and private equity funds.

    provides SEC and FINRA regulatory compliance consulting services to investment advisers, broker dealers and private funds Regulatory Compliance Consultants

Comprehensive and Current Compliance Programs in a Rapidly Changing Regulatory World


Securities Compliance Advisors, LLC is a leading regulatory consulting firm providing compliance and registration products and services to broker-dealers, traditional investment advisers and hedge fund and private equity fund managers. We are known for our ability to design practical compliance solutions that meet the specific needs of our clients rather than taking a "one size fits all" approach. Our consultants stay in regular contact with SEC, FINRA and state securities regulators so our clients are always up to date on the latest regulatory trends and priorities.

Our clients include multi-national financial services companies, hedge fund and private equity fund managers, family offices, institutional and retail advisers, broker-dealers engaged in a broad range of activities, including general securities, investment company products, public finance, institutional equity, mergers and acquisitions, private placements, international securities, research and investment banking. Our clients are located throughout the U.S. and around the world.

SCA has been offering compliance consulting products and services since 1996. Our staff and associates are comprised of industry experts in securities regulation, including accountants, attorneys, former regulators, industry executives and compliance officers.

Featured Services

Registration Services

SCA has assisted firms through the FINRA membership process since 1998. We are proud to say that no SCA client has been denied FINRA membership. SCA will walk you the the process from the Form NMA to the PMI meeting.
The professional staff at SCA has been registering firms as investment advisers since 1997. We prepare Form ADV Parts I and 2 and provide a customized robust compliance program to meet the specific needs of the client. .