Individual Investment Advisers
As an individual investment adviser, you have a complex job. In addition to providing the best possible products and services to your clients, your business requires you to follow a host of intricate compliance requirements that are as changeable as the financial landscape. You might feel sometimes as though staying compliant takes so much time and effort that it’s a part-time job. What if you could have securities industry experts on your side to guide you through every process and take care of the heavy lifting, so that you can focus on growing your career or business?
The attorneys at Jacko Law Group, PC (“JLG”) are here to help you with all of your business and compliance needs. We provide high-touch, personalized counsel on transitioning between firms, employment contracts and compensation arrangements, Form U5 disclosures, and succession planning. JLG also advises on regulatory requirements and ongoing compliance needs, as well as general protections for your business.
Professional Finance Services
Need industry guidance as a financial professional?