VARDALIS CONSULTING SERVICES, LLC
254-595-1654 lvardalis@att.net
www.VardalisConsulting.com
- Former Securities and Exchange Commission (SEC) Compliance Examiner/Accountant
- Former State of Florida Compliance Examiner/Financial Control Analyst
- Over 20 Years Public/Private Investment Adviser Regulatory Compliance Experience
- Conducted over 250 Federal and State Investment Adviser/Company Regulatory Examinations
- Experience in Successful SEC and State Registration of Advisory Firms and Investment Adviser Representatives
- Experience in Applying Regulatory Rules and Regulations to Specific Business Models
- Conducted Training at North American Securities Administrators Association (NASAA) National Investment Adviser Conferences and at State of Florida Examiner Training Seminars
Laura J. Vardalis can assist you with all aspects of your compliance needs from initial state or federal registration to developing and maintaining a robust compliance program:
- Preparation of Disclosure Documents – Form ADV Parts 1 and 2, including Brochure Supplements
- Preparation and Filing of Form U4 and Form U5
- Initial Federal and State Registrations and Notice Filings and IARD Filings, including Annual and Interim Amendments
- Development of Compliance Programs, including Policies and Procedures
- Best Business Practices and Industry Standards
- Ongoing Compliance Services Furnishing Regulatory Updates
- Mock Audits and Annual Compliance Reviews
- Marketing Material Reviews
- Review of Performance Data, Returns, Composite Criteria, and Policies and Procedures
Contact Laura J. Vardalis to Discuss Your Compliance Needs and our Reasonable Fees