Members

A few words about me and my business:

Unlimited Freedom Compliance Consulting, Inc provides solutions to the numerous compliance issues that affect small to mid-size broker-dealers. We are and can be considered the Compliance office for small to mid-size broker dealers and investment advisers. Our services include preparation and review of written supervisory procedures; Preparation for regulatory reviews by the SEC, FINRA and state regulatory agencies; Independent reviews of Anti-Money Laundering programs and compliance with the anti-money laundering rules; Preparation of FOCUS Reports, completion of regulatory filings.