IARD is designed to make electronic filing easy, even if you are unfamiliar with computers. We expect that most investment advisers will submit their own electronic filings directly over the Internet to the IARD System. However, should you prefer, you can hire a service bureau to assist in the preparation and electronic submission of filings on the IARD System.
1st BridgeHouse Consulting, LLC
800 Sawyer Bend Court, Suite 100
Franklin, Tennessee 37069-7009
Phone: (615) 373-9195
Fax: (615) 373-8605
E-mail: rgray@1stbridgehouse.com
Contact: L. Rainey Gray
ACA Compliance Group
2120 L Street, NW, Suite 530
Washington, DC 20037
Phone: (202) 955-5800
Fax: (202) 955-8331
E-mail: bschwartz@ACAComplianceGroup.com
Contact: Barry P. Schwartz
Advanced Regulatory Compliance, Inc.
415 N. Camden Drive, Ste. 121
Beverly Hills, CA 90210
Phone: (310) 275-7300
Fax: (310) 275-7305
E-mail: pburns@bhrcg.com
Contact: Patrick J. Burns, Jr.
Advisor Consultant Network, Inc.
600 Superior Ave., Suite 1300
Cleveland, OH 44114
Phone: (216) 522-1908
Fax: (216) 521-5558
E-mail: info@netacn.net
Contact: James A. Hammett
Advisor Solutions Group, Inc.
1300 Bristol Street North, Suite 100
Newport Beach, CA 92660
Phone: (949) 250-1855
Fax: (949) 681-6880
E-mail: krista.zipfel@advisorsolutionsgroup.com
Web site: www.advisorsolutionsgroup.com
Contact: Krista S. Zipfel, CFA
Alaric Compliance Services, LLC
800 Third Avenue, 11th Floor
New York, NY 10022
Phone: (212) 243-5241
Fax: (212) 243-5251
E-mail: gtalarico@alariccompliance.com
Contact: Guy Talarico
Altheimer & Gray
10 South Wacker Drive
Chicago, IL 60606
Phone: (312) 715-4536
Fax: (312) 715-4800
E-mail: tuetingw@altheimer.com
Contact: William F. Tueting
American Northwest Advisory Services LLC
1010 S. 336th St., Suite 305
Federal Way, WA 98003
Phone: (800) 815-0058
Fax: (253) 874-4979
E-mail: toakes@americannw.com
Contact: Thomas L. Oakes
Ann Buffie & Associates, Inc.
Compliance Consulting
14709 White Oak Drive
Burnsville, MN 55337
Phone:(952) 953-3592
Fax: (952) 891-1324
E-mail: Ann.Buffie.and.Associates@USA.Net
Contact: Ann Buffie
A.S.A.P. Advisor Services
163 Third Avenue, Suite 301
New York, NY 10003
Phone: (212) 529-1295
E-mail: info@asapas.com
Contact: Lauren Cola
Ascendant Compliance Management
16 Conklin Street
Salisbury, CT 06068
Phone: (860) 435-2255
Fax: (860) 435-2264
E-mail: chardy@ascendantcompliance.com
Contact: Chris Hardy
Assured Compliance Advisors
P.O. Box 7585
Thousand Oaks, CA 91359-7585
Phone: (805) 241-3195
Fax: (805) 241-7637
Contact: Kerry Rider
Barge Consulting, LLC
6555 Sugarloaf Parkway, Suite 307-104
Duluth, GA. 30097
Phone: (678) 475-0805
Fax: (678) 475-0905
E-mail: marvin@bargeconsulting.com
Contact: Marvin Barge
B/D Compliance Associates, Inc.
5726 Williamsburg Drive
Norcross, Georgia 30093
Phone: (770) 923-9632
Fax: (770) 923-9760
E-mail: carrie@bd-compliance.com
Contact: Carrie Wisniewski
B/D Compliance Consultants, Inc.
9485 North Green Bay Road
Brown Deer, WI 53209
Phone: (414) 354-5357
Fax: (414) 354-5870
E-mail: bdcomplianceinc@wi.rr.com
Contact: Ramona V. Larson
BD/IA Complete, LLC
1201 Third Avenue, Suite 5300
Seattle, WA 98101
Phone: (206) 748-1682 or (877) 839-1358
Fax: (425) 977-0206
E-mail: michelle@bdiacomplete.com
Contact: Michelle Heyne-Wyrick
Bekker Compliance Consulting Partners, LLC
1133 Sixth Avenue, Suite 203
San Diego, CA 92101
Phone: (818) 836-1291
Fax: (480) 393-4944
Web site: www.bccp-llc.com
E-mail:cbekker@bccp-llc.com
Contact: Carrie F. Bekker
Best Practices Consulting Group
19229 Sonoma Highway, No. 162
Sonoma, California 95476
Phone: (707) 939-3531
E-mail: bestpracticesgroup@hotmail.com
Contact: Wendy J. Phillippay
Blue Sky MLS, Inc.
301 Route 17 North
Rutherford, NJ 07070
Phone: (800) 232-5837, ext. 118
Fax: (201) 804-9415
E-mail: mskinner@blueskymls.com
Contact: Mary Louise Skinner
Bradford Compliance Group, Inc.
1644 Manhasset Farm Court
Atlanta, GA 30338-3433
Phone: (770) 396-6362
Fax: (770) 396-5056
E-mail: bradcomp@comcast.net
Contact: Ralph Buie
Brokerage Resources
77 Moore Road
Novato, CA 94949
Phone: (415) 883-4988
Fax: (415) 883-4999
E-mail: pldestein@aol.com
Contact: Patricia Lenox Destein
Broker Dealer Compliance
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 437-8797
Fax: (603) 437-3676
E-mail: sales@bdcompliance.com
Contact: Karen Hagan
Broker/Dealer Concepts, Inc.
4501 Lemmon Ave
Dallas, TX 75219
PO Box 7146
Dallas, TX 75209
Phone: (214) 526-0806, ext. 100
Fax: (214) 526-9893
E-mail: valynda@bdconcepts.com
Contact: Valynda A. Ewton
Broker Dealer Services
2855 Mitchell Drive, Suite 201
Walnut Creek, CA 94598-1699
Phone: (925) 932-8586
Fax: (925) 932-8635
E-mail: bkrdlrsvcs@consultant.com; emoberg@eudoramail.com
Contact: Erik W. Moberg
Brown & Associates
20 Oak Street
Beverly Farms, MA 01915
Phone: (978) 921-6688
Fax: (978) 921-4166
E-mail: dbrown@selfauditor.com
Contact: Debra M. Brown, Esquire
Bryant Law, A Professional Corporation
39½ Main St.
P.O. Box 596
Camden, ME 04843
Phone: (207) 230-0066
Fax: (207) 230-0077
E-mail: sebry@aol.com
Contact: Susan E. Bryant
Buchanan Associates
48 Wall Street 29th Floor
New York, NY 10005
Phone: (212) 809-7171 #234 Direct
Fax: (212) 809-7238
E-mail: pappelbaum@buchananassociates.us
Web site: www.buchananassociates.us
Contact: Paul M. Appelbaum, Business Development Director
Business Analytic, Inc.
955 Orchid Lane
Gulf Stream, FL 33483
Phone: (561) 843-3870
Fax: (561) 278-1111
E-mail: laurence_white@businessanalytic.com
Contact: Laurence White
Capital Markets Compliance, LLC
3525 Holcomb Bridge Road
Norcross, GA 30092
Phone: (770) 263-7300
Fax: 1 (877) 600-1780
E-mail: cmc@cmcompliance.com
Carlton Fields, P.A.
4000 International Place
100 S.E. Second Street
Miami, Florida 33131-9101
Phone: (305) 530-0050
Phone (direct): (305) 539-7373
Fax: (305) 530-0055
E-mail: dknapton@carltonfields.com
Contact: Donna K. Knapton
Carr & Schwartz, LLP
155 B Avenue, Suite 240
Lake Oswego, OR 97034
Phone: (503) 635-5244
Fax: (503) 635-2955
E-mail: Jcarr@Carr-Schwartz.com or Tschwartz@Carr-Schwartz.com
Contact: John T. Carr
CED Consulting
5532 W. 62nd St.
Los Angeles, CA 90056
Phone: (310) 756-3998
Fax: (509) 692-0332
E-mail: cedii@sbcglobal.net
Contact: Clayton E. Dilliard II
CFSC, Inc.
11354 S. Champlain Avenue
Chicago, IL 60628
Phone: (773) 568-3046
Fax: (773) 568-7871
E-mail: cfscinc@sbcglobal.net
Contact: Matthew E. Corey, President
Compliance 911 Solutions, LLC
9461 Grossmont Summit Drive, Suite G
La Mesa, CA 91941
Phone: (619) 466-0015
Fax: (619) 393-0174
E-mail: kelly@complianceconsulting.org
Web site: www.complianceconsulting.org
Contact: Kelly Barker-Alfino
Compliance Advisers, Inc.
26 West Dry Creek Circle
Suite 120
Littleton, CO 80120
Phone: 303 795-0400
Fax: 303 797-3898
E-mail: info@complianceadvisers.com
Contact: Karen Steighner
Compliance Advisor Professionals, LLC
134 Bayview Avenue
Berkley, MA 02779
Phone: (508) 828-1410
Fax: (508) 300-0243
E-mail: embruno@comcast.net
Contact: Ellen M. Bruno
Compliance Advisory Services, Inc.
351 Hood Road
Newnan, GA 30263
Phone: (770) 502-7036
Fax: (770) 252-0117
E-mail: DBondRIA@aol.com
Contact: Dawn Bond
Compliance Consultants
2715 63rd Ave SE
Mercer Island, WA 98040
Phone: (425) 765-6427
Fax: (501) 647-6336
E-mail: Tomrausch1@comcast.net
Contact: Thomas Rausch, CPA, CFP®
The Compliance Consultants, LLC
13365 W. Foxwood Drive
New Berlin, WI 53151
Phone: (262) 786-6363
Fax: (262) 792-8930
E-mail: moswald@annexadvisors.com
Contact: Mark M. Oswald
The Compliance Department Inc.
7575 East Mineral Drive
Centennial, CO 80112
Phone: (303) 689-9526
Fax: (303) 689-9564
E-mail: chebert@thecompliancedepartment.com
Contact: Chet Hebert
Compliance Directives LLC
7 Dewal Drive
Norwalk, CT 06851
Phone: (203) 956-5900
Fax: (203) 286-1145
E-mail: prockley@compliancedirectives.com
Contact: Pamela L. Rockley
Web site: http://www.compliancedirectives.com/
The Compliance Gurus (TM)
6701 N. Matheson Road
Northport, MI 49670
Ph: (231) 386-5280
Fax: (231) 386-5428
E-mail: Gurus@Riaserve.com
Contact: C. David Dickinson or Beth Dickinson
ComplianceMAX Financial Corporation
3511 Camino del Rio South, Suite 307
San Diego, CA 92108
Phone: (619) 283-3550
Fax: (619) 282-3540
E-mail: lisaroth@compliancemax.com
Contact: Lisa Roth, President
Compliance Resource Partners, Inc.
7866 S. Hill Dr.
Littleton, CO 80120
Phone: 303-797-0550
Fax: 303-797-0436
Contact: Kim Collins
E-mail: kcollins@thecomplianceresource.com
Web site: www.thecomplianceresource.com
Connecticut Compliance Consultants, LLC
PO Box 35
Old Greenwich, CT 06870
Phone: (866) 505-3542
Fax: (203) 798-1132
Web site: www.ctcompliance.com
Contact: Scott Gottlieb
The Consortium
PO Box 2682
Camarillo, CA 93011-2682
Phone: (805) 987-6115
Fax: (805) 987-1988
E-mail: Nancy@liftburden.com
Contact: Nancy Lininger
Core Compliance & Legal Services, Inc.
5920 Friars Road, Suite 208
San Diego, CA 92108
Phone: (619) 278 0020
Fax: (619) 278 0050
E-mail: info@corecls.com
Contact Person: Michelle L. Jacko, Esq.
Web site: www.corecls.com
CounselWorks LLC
420 Lexington Avenue, Suite 1637
New York, New York 10170
Phone: (212) 867-0200
Fax: (212) 661-4580
E-mail: rfanelli@counselworksllc.com
Contact: Rosemary Fanelli
Crowe Chizek and Company LLC
354 Eisenhower Parkway, Plaza 1
Livingston, New Jersey 07039-1027
Phone: (973) 422-4542
Fax: (973) 422-4520
E-mail: bbadinelli@crowechizek.com
Contact: Bill Badinelli
CY Consulting LLC
488 Madison Avenue, Suite 1120
New York, NY 10022
Phone: (212) 977-7550
Fax: (212) 977-7189
Contact: Colette Panebianco
E-mail: cyconsulting1@aol.com
Dawe Compliance Consulting Services
6284 Scarborough Dr. SE
Ada, MI 49301
Phone: (616) 460-6782
Fax: (616) 682-1683
Email: ddawe@dawecompliance.com
Contact: Dana R. Dawe, CAMS
D.E. Scott & Associates, LLC
521 Fifth Avenue, Suite 1700
New York, NY 10175
Phone: (646) 415-8159
Fax: (646) 390-7868
Web site: www.descott.com
Contact: David E. Scott, Managing Member
DFK Financial Services FINOP Series 27
Daniel F. Kiernan, Finop MBA
1714 Franklin Street, # 100-357
Oakland, CA 94612-3409
E-mail: dfkfinsvcs@aol.com
Phone/Fax: 707-557-5172
Contact: Daniel F. Kiernan
Dickinson Regulatory Alliance
6701 North Matheson Road
Northport, MI 49670
Phone: (231) 386-5808
Fax: (231) 386-5428
E-mail: Riaserve@coslink.net
Contact: Beth Dickinson
Dinsmore & Shohl LLP
255 East Fifth Street
Cincinnati, OH 45247
Phone: (513) 977-8315
Fax: (513) 977-8327
E-mail: hertlein@dinslaw.com
Contact: Charles F. Hertlein, Jr.
Dynamic Compliance Consulting LLC
P.O. Box 3497
Granada Hills, CA 91394
Phone: (818) 442-2369
E-mail: tlm@dynamiccomplianceconsulting.com
Contact: Tina L. Mitchell
Edgerton & Weaver, LLP
2615 Pacific Coast Hwy., Suite 300
Hermosa Beach, CA 90254
Phone: (310) 937-2066
Fax: (310) 937-2064
E-mail: jroberts@edgertonweaver.com
Web site: www.edgertonweaver.com
Contact: Jason C. Roberts Esq.
Lori Egana, CLU, CEP
968 Wesson Drive
Casselberry, FL 32707
Phone: (407) 765-5260
Fax: (407) 695-3855
E-mail: legana@cfl.rr.com
Contact: Lori Egana
Eworldwire.com
PO Box 94
Succasunna, NJ 07876
Phone: (973) 252-0999 or (888) 546-NEWS
Fax: (973) 252-0888
E-mail: sales@eworldwire.com
Contact: Melanie Aaron
Executive Advisors, Inc.
PO Box 600104
Dallas, Texas 75360-0104
Phone: (800) 414-6115
Fax: (972) 421-1717
E-mail: EXADV@msn.com
Contact: Frank C. Dealy, COO
Experts Counsel Inc.
2202 N. Westshore Blvd., Suite 200
Tampa, FL 33607
Phone: (813) 639-4201
Fax: (727)299-9051
E-mail: expertscounsel@tampabay.rr.com
Contact: Kevin A. Carreno, President
Cell phone: (813) 943-2386
Financial Planners Assistance Corporation
6606 N.W. 127th Terrace
Parkland, FL 33076
Phone: (561) 266-9002
Fax: (561) 266-9068
E-mail: jeffk21340@aol.com
Contact: Jeffrey B. Kelvin, J.D., LL.M.
Financial Registrations, Inc.
25602 Alicia Parkway #107
Laguna Hills, CA 92653
Phone: (949) 770-6154
Toll-free: (800) 641-1818
Fax: (949) 770-6198
E-mail: bmiller@financialreg.com
Contact: Brian K. Miller
Fireman & Associates — Compliance Consulting
14418 Turkey Foot Road
W. Potomac, MD 20878
Phone: (240) 643-6001
E-mail: karen.fireman@fireman-associates.com
Contact: Karen Schreiber Fireman
FrontLine Compliance, LLC
3131 Mount Vernon Avenue
Alexandria, VA 22305
Phone: (703) 518-8860
Fax: (703) 518-4480
Web site: www.frontlinecompliance.com
E-mail: info@frontlinecompliance.com
Contact: Amy Lynch, CRCP
Florida Securities Consulting Services, Inc.
6838 SW 82nd Terrace
Gainesville, Florida
Phone: (352) 377-1980
Fax: (352) 377-1984
E-mail: lance@fscs.com
Contact: Lance D. MacKenzie
Forest Brokerage Advisers, Inc.
3931 Haynes Circle
Casselberry, FL 32707
Phone: (407) 696-9600
Fax: (407) 696-9927
E-mail: fbai@aol.com
Contact: Warren A. Forest
Gary E. Martinelli & Associates, P.C.
1500 Main Street - Suite 912
Springfield, MA 01115
Phone: (413) 746-4677
Fax: (413) 747-3928
E-mail: gem@gemandassoc.com
Contact: Gary E. Martinelli
Godfrey & Kahn, S.C.
780 North Water Street
Milwaukee, WI 53202
Phone: (414) 273-3500
Fax: (414) 273-5198
E-mail: shannert@gklaw.com
Contact: Susan M. Hannert
Hedge Fund Compliance Services, LLC
215 East Ford Avenue
Las Vegas, NV 89123
Phone: (702) 480-7462
E-mail: HFCompliance@yahoo.com
Contact: Joseph V. Siquian
HedgeOp Compliance LLC
3 Park Ave.,
New York, NY 10016
Phone: (212) 515-2814
Fax: (212) 515-2820
E-mail: jschwartz@hedgeop.com
Contact: Jordan Schwartz
Henderson & Lyman
175 W. Jackson Blvd., Suite 240
Chicago, IL 60604
Phone: (312) 986-6960
Fax: (312) 986-6961
E-mail: jhenderson@henderson-lyman.com
Contact: Jeffry Henderson
Hutchison & Steffen, Ltd.
8831 W. Sahara Avenue
Las Vegas, NV 89117
Phone: (702) 385-2500
Fax: (702) 385-2086
E-mail: twallin@hsnvlaw.com
Contact: Troy A. Wallin
InCap Group, Inc.
320 North Charles Street
Baltimore, MD 21201
Phone: (410) 727-2100
Contact: Dan Shuman
Integrated Management Solutions
39 Broadway
Suite 1601
New York, NY 10006-3003
Phone: (212) 509-7800
Fax: (212) 509-8347
E-mail: hspindel@intman.com
Contact: Howard Spindel
Investment Advisors Information Technology Alliance
Box 91566-711 E. Walnut St., #301
Pasadena, CA 91109-1566
Phone: (626) 304-0553
Fax: (626) 440-9892
E-mail: edlayo@pacbell.net
Contact: Ed Layo
InvestmentCare Consulting Group
16400 Ventura Boulevard, Suite 308
Encino, California 91436
Phone: (818) 386-6900
Fax: (818) 386-6903
E-mail: dbartoletti@investmentcare.com
Contact: Dante Bartoletti
Investment Compliance, Inc.
500 West 43rd Street
Suite 26C
New York, NY 10036
Phone: (212) 695-0718
Fax: (800) 861-9660
E-mail: info@investmentcompliance.com
Contact: Elbert Hugh Pope
Investment Industry Consultants, LLC
3765 Rivaridge Drive
Marietta, GA 30062
Phone: (770) 971-7010
Cell Phone: (404) 272-8880
Fax: (770) 971-3814
E-mail: da-lamb@msn.com
Contact: Deborah A. Lamb
Investment Management Compliance Group (IMCG)
11301 Olympic Boulevard, Suite 301
Los Angeles, CA 90064
Phone: (310) 779-5551
Fax: (310) 445-4016
E-mail: mlinvill@imcompliance.com
Contact: Michael Linvill
Invoco, Advisors to the Securities Industry
225 NE Mizner Boulevard, Suite 675
Boca Raton, FL 33431
Phone: (561) 672-4905
Fax: (561) 672-4614
E-mail: Rshaffer@InvocoCorp.com
Contact: Roger L. Shaffer
Janet Mortenson, PLLC
3401 Louisiana
Suite 220
Houston, TX 77002-9456
Phone: (713) 610-3890
Fax: (713) 610-3892
E-mail: jem@jemlaw.com
Contact: Janet Mortenson
JG Advisory Services LLC
200 East 27th Street, #11V
New York, NY 10016
Phone: (917) 375-6852
Fax: (212) 686-4114
E-mail: jgross21@nyc.rr.com
Contact: Judith Gross
Joseph Amundsen, CPA
67 Wall Street, 22nd Floor
New York, NY 10005
Phone: (212) 709-8250
Fax: (212) 943-2300
E-mail: exbaker@juno.com
Web Site: www.amundsencpa.com
Contact: Stephanie Murray
Joseph D. Carney & Associates, LLC
2001 Crocker Rd., Suite 440
Westlake, OH 44145
Phone: (440) 899-1551, ex 225
Fax: (440) 892-4147
E-mail: jdc@jdcarney.com
Web site: www.josephdcarneylaw.com
Contact: Joseph D. Carney
Kathryn Beller Professional Corporation
20 Attitash
Chappaqua, NY 10514
Phone: (914) 393-7613
E-mail: kathryn.beller@att.net
Contact: Kathryn Beller
KeVer Consulting Group
2240 S. Grace Street, Suite 404
Lombard, IL 60148
Phone: (630) 627-1716
Fax: (630) 627-2712
E-mail: dkeeton@kvconsults.com
Contact: Doris Keeton
Krage & Janvey, L.L.P
2600 San Jacinto Tower
2121 San Jacinto Street
Dallas, Texas 75201
Phone: (214) 969-7500
Fax: (214) 220-0230
E-mail: rjanvey@kjllp.com
Contact: Ralph S. Janvey
L & S Consulting Group, Inc.
320 Northern Blvd.
Suite 12
Great Neck, NY 11021
Phone: (516) 482-2860
Fax: (516) 482-2862
E-mail: info@LSConsultingGroup.com
Contact: Steve Solano
Law Offices of David P. Kashani, P.C.
8383 Wilshire Boulevard, Suite 510
Beverly Hills, CA 90211
Phone: (323) 782-9605
Fax: (323) 782-1185
E-Mail: dkashani@dkashlaw.com
Contact: David P. Kashani, Esq.
Law Offices of McNulty & Saacke
3562 Howard Ave., Suite A
Los Alamitos, CA 90720
Phone: (562) 598-0545
Fax: (562) 596-0545
E-mail: skee@mcsaackelaw.com
Contact: William C. Saacke, Esq., Attorney, Arbitrator, Mediator
Law Offices of Patrick J. Burns Jr., P.C.
415 N. Camden Drive, Ste. 121
Beverly Hills, CA 90210
Phone: (310) 275-5059
Fax: (310) 275-7305
E-mail: pburns@pjblawoffice.com
Web site: www.pjblawoffice.com
Contact: Patrick J. Burns, Jr., Esq.
Lawrence Kamin Saunders & Uhlenhop
208 South LaSalle Street, Suite 1750
Chicago, IL 60604
Phone: (312) 372-1947
Fax: (312) 372-2389
E-mail: jruark@lksu.com
Contact: John Ruark
Levan Friedman LLP
Two Penn Center Plaza, Suite 1422
1500 John F. Kennedy Boulevard
Philadelphia, PA 19102
Phone: (215) 568-9840
Fax: (215) 568-9843
E-mail: rlevan@levanfriedman.com
Contact: Richard A. Levan, Esquire
Levine Law Offices
48 Wall Street, Suite 1100
New York, NY 10005
Phone: (800) 921 0175 x701
Fax: (800) 921 0175 (same as phone)
E-mail: info@levinelawonline.com
Contact: Gregory Levine
LIMRA Compliance & Regulatory Services
300 Day Hill Road
Windsor, CT 06095-4761
Phone: (860) 285-7873
Fax: (860) 298-4077
Web site: www.limra.com/Compliance
Contact: Tom Caraher
MadisonGrey Holdings, LLC
10 Glenlake Parkway NE
Suite 900, South Tower
Atlanta, GA 30328
Phone: 678-392-4100
Fax: 770-392-0778
E-mail: jmccorvey@madisongrey.com
Contact: John McCorvey III
The Mainstay Group, Inc.
7000 Peachtree Dunwoody Road
Bldg #4 Suite 150
Phone: 770-352-0120
Fax: 770-352-0038
Atlanta, GA
E-mail: knew@mainstaygroup.com
Contact: Ken Newman
Mallon & Johnson, P.C.
19 S. LaSalle Street, Suite 1202
Chicago, IL 60603
Phone: (312) 346-8890
Fax: (312) 346-8896
E-mail: m-j@mallonandjohnson.com
Contact: Barbara Mallon
MarketCounsel, LLC
55 W. Palisade Ave.
Second Floor
Englewood, NJ 07631
Phone: (201) 705-1200
Fax: (201) 705-1201
E-mail: pnc@marketcounsel.com
Web site: www.marketcounsel.com
Contact: Kari Hamburger, MSW, Director of Business Development
Massachusetts Compliance Consultants, LLC
831 Beacon Street
Suite 183
Newton Centre, MA 02459
Toll Free: (866) 505-3542
E-mail: info@macompliance.com
Web site: www.macompliance.com
Contact: Scott Gottlieb
Andrew S. May, Esq.
3700 W. Devon Ave., Suite E
Lincolnwood, IL 60712
Phone: (847) 675-1052
Fax: (847) 982-9386
E-mail: amay@maylawpc.net
Web site: http://www.maylawpc.net
Contact: Andrew S. May
May Law, PC
3700 W. Devon Ave., Suite E
Lincolnwood, IL 60712
Phone: (847) 675-1052
Fax: (847) 982-9386
E-mail: amay@maylawpc.net
Web site: http://www.maylawpc.net
Contact: Andrew S. May
MB Regulatory Solutions, LLC
9672 Vagabond Lane North
Maple Grove, MN 55311
Phone: (763) 420-5055
E-Mail: mburns@mbregs.com
Contact: Michael Burns
McCormick & O'Brien LLP
42 West 38th Street, 7th Floor
New York, New York 10018
Phone: (866) 853-0931
Fax: (212) 504-9574
Web site: www.mcoblaw.com
MGL Consulting Corporation
10077 Grogan's Mill Road, Suite 300
The Woodlands, TX 77380
Phone: (281) 367-0380
Fax: (281) 364-1452
E-mail: ssurman@mglconsulting.com
Contact: Suzette M. Surman, Vice President Investment Adviser
Modern Regulatory Services LLC
48 Wall Street, Suite 1100
New York, NY 10005
Phone: (800) 921 0175 x701
Fax: (800) 921 0175 (same as phone)
E-mail: info@modernrs.com
Contact: Gregory Levine
Monahan & Roth, LLC
3511 Camino del Rio South
Suite 307
San Diego, CA 92108
Phone: (619) 283-3550
Fax: (619) 282-3540
E-mail: lroth@monahan-roth.com
Contact: Lisa J. Roth, President
Money Consultants, Inc.
7435 Watson Road, Suite 202A
St. Louis, MO 63119
Phone: (314) 963-9813
Fax: (314) 963-9813
E-mail: medorsey@swbell.net
Contact: M. Eileen Dorsey
Moore & Van Allen, PLLC
430 Davis Drive, Suite 500
P.O. Box 13706
Research Triangle Park, NC 27709
Phone: (919) 286-8031
Fax: (919) 416-8331
E-mail: donnalee@mvalaw.com
Contact: Donna Lee Pearson
MTD Compliance Advisor LLC
P.O. Box 71
Chatham, NJ 07928
Phone: (973) 635-7608
E-mail: mtdorsey56@aol.com
Contact: Michael T. Dorsey, Esq.
myCPA inc.
1004 W. Century Blvd
Los Angeles, CA 90044
Phone: (323) 756-6632
Fax: (323) 756-6727
E-mail: HHN@mycpa-adviser.com
Contact: Hue H. Nguyen
National Compliance Consultants, Inc.
411 South Sangamon St., Suite 5B
Chicago, IL 60607
Phone: (312) 421-5050
Fax: (312) 421-9366
E-mail: info@bd-ria-consulting.com
Contact: Bruce Deemer or Taneia Brown
National Compliance Services
355 N. E. 5th Avenue, Ste. 4
Delray Beach, FL 33483
Phone: (800) 800-3204
Fax: (561) 330-7648
E-mail: ken@ncsonline.com
Contact: Ken Kaltman, Director, National Sales
National Regulatory Services, A Division of Thomson Financial
323A Main Street
P.O. Box 71
Lakeville, CT 06039
Phone: (860) 435-2541
Fax: (860) 435-0031
E-mail: bcavell@nrs-inc.com
Contact: William Cavell, Director of Consulting Services, NRS
New York Compliance Consultants, LLC
282 Katonah Avenue, #209
Katonah, NY 10536-2110
Toll Free: (866) 505-3542
E-mail: info@macompliance.com
Web site: www.nycompliance.com
Contact: Scott Gottlieb
NorthStar Strategic Solutions
4580 Myrtle Hill Road
Kennesaw, GA 30144-1521
Phone: (404) 966-3712
Fax: (770) 924-7652
E-mail: rodkresge@msn.com
Contact: Rod Kresge
Nummi & Associates, PA
9804 Woodbay Drive
Tampa, FL 33626
Phone: (813) 966-1490
Fax: (813) 315-6029
E-mail: Richard.Nummi@NummiLaw.Com
Contact: Richard Nummi
Nye Company
624 University Avenue
Palo Alto, CA 94301-2019
Phone: (650) 326-9335
E-mail: davec@nyecompany.com
Contact: David W. Campbell
Operational Compliance Services, LLC
P.O. Box 3116
Stuart, FL 34995
Phone: 772-713-5224
E-mail: info@opcompliance.com
Contact: Anne C. Czizek
Palmer & Dodge LLP
111 Huntington Avenue
Boston, MA 02199-7613
Phone: (617) 239-0100
Fax: (617) 227-4420
E-mail: mdallett@palmerdodge.com
Contact: Matthew C. Dallett
Partnervest Financial Group
2020 Alameda Padre Serra, Suite #135
Santa Barbara, CA 93103
Phone: (805) 966-1266
Fax: (805) 966-1299
E-mail: khyman@partnervest.com
Contact: Ken Hyman
PHD Consulting Services
15332 Cuming Street
Omaha, NE 68154
Phone: (402) 498-0697
Fax: (402) 493-2811
E-mail: phdoyle@tconl.com
Contact: Patrick H. Doyle, Esq.
Phoenix Consulting Network, Inc.
13335 Fifteen Mile, #234
Sterling Heights, MI 48312
Phone: (586) 268-5085
Fax: (586) 268-3408
Email: diane@phoenixfirst.com
Contact: Diane M. Bilich, President
Pickard and Djinis LLP
1990 M Street, N.W., Suite 660
Washington, DC 20036
Phone: (202) 223-4418
Fax: (202) 331-3813
E-mail: info@pickdjin.com
Contact: Mari-Anne Pisarri
Pillsbury Winthrop Shaw Pittman LLP
50 Fremont Street
San Francisco, CA 94105-2228
Phone: (415) 983-1655
Fax: (415) 983-1200
Mobile: (415) 722-8476
E-mail: michael.wu@pillsburylaw.com
Contact: Michael G. Wu
John E. Pinto
888 17th Street, NW, Suite 860
Washington, DC 20006
Phone: 202-463-6575
Fax: 202-463-6554
PM Consulting
1346 E. Catalapa Street
Springfield, MO 65804
Phone: (417) 865-0998
Fax: (417) 865-4520
E-mail: pmafteiu@snet.net
Contact:Peter Mafteiu
Professional Compliance Assistance, Inc.
6175 Hickory Flat Hwy.
Suite 110, #300
Canton, Georgia 30115
Phone: (770) 753-4554
Fax: (770) 753-8110
E-mail: karenhuey@attbi.com
Contact: Karen Huey
Protiviti
1285 Avenue of the Americas, 3rd floor
New York, New York 10019
Phone: (212) 708-3796
Fax: (212) 399-8794
E-mail: Carol.Beaumier@protiviti.com
Contact: Carol Beaumier, Managing Director
Quarles & Brady LLP
33 East Main Street
Suite 900
Madison, WI 53701
Phone: (608) 283-2457
E-mail: rpc@quarles.com
Contact: Richard P. Carney
Registration Consultants
P.O. Box 16155
Clearwater, FL 33766-6155
Phone: (727) 797-1466
Fax: (727) 797-5040
E-mail: LynnHippner@verizon.net
Contact: Lynn Hippner, CRCP
Renaissance Regulatory Services, Inc.
350 Camino Gardens Blvd., Suite 105
Boca Raton, FL 33432
Phone: (561) 368-2245
Fax: (561) 807-5442
E-mail: LouisDempsey@RRSCompliance.com
Contact: Louis Dempsey
RIA Compliance & Consulting
7 Country Club Circle
Tequesta, FL 33469
Phone: (561) 745.3893
Fax: (561) 745-3894
E-mail: Ggenco@aol.com
Contact: Geraldine Genco
RIA Compliance Consultants
1905 Harney Street, Suite 530
Omaha, NE 68102
Phone: (877) 345-4034
Fax: (949) 221- 3602
Web site: www.RIA-Compliance-Consultants.com
Contact: Bryan Hill
RIA in a Box
6300 West Loop South, Suite 510
Bellaire, TX 77401
Phone: (866) 611-7638
Fax: (915) 975-8313
E-mail: info@riainabox.com
Web site: www.riainabox.com
Contact: Zachary Gronich, CPA/PFS
Risk Services Group LLC
Olympic Tower, 645 Fifth Avenue, 8th Floor
New York NY 10022
Phone: (212) 227-0081 and (212) 848-0252
Fax: 718) 788-7152
E-mail: tquinn@riskservicesgroup.com
Contact: Timothy F. Quinn
Christine P. Ritch, Esquire
40 Boyden Road
Wrentham, MA 02093
Phone: 401-578-7816
E-mail: ChrisRitchPC@aol.com
Contact: Chris Ritch
Melissa Royer
117 Youville St.
Manchester, NH 03102
Phone: 603-644-8733
E-mail: melissa.royer@verizon.net
Contact: Melissa Royer
Ruddy Law Office, PLLC
1225 15th Street, NW
Washington, DC 20005
Phone: (202) 797-0762
Fax: (202) 318-0543
E-mail: info@ruddylaw.com
Contact: Mark Ruddy
RVW Consulting Group, Inc.
18115 Heaton Drive
Houston, Texas 77084-3366
Phone: (281) 859-6774
Fax: (281) 861-6566
Contact: Roy Washington
E-mail: roywashington@rvw-consulting.com
The Scullin Group
One Liberty Place
Philadelphia, PA 19103
Phone: (215) 640-3330
Fax: (215) 640-3340
E-mail: frank@scullingroup.com
Contact: Frank Scullin
SDE Storing Documents Electronically, Inc.
5610 W. Sligh Avenue
Tampa, FL 33634
Phone: (813) 294-9911
Toll-free Phone: 1-888-879-2659
Fax: (813) 806-9780
E-mail: dcasazza@sdesolutions.com
Contact: Dennis A. Casazza, VP - Sales & Marketing
SEComp, LLC
1388 Sutter Street, Suite 723
San Francisco, CA 94109
Phone: (415) 923-9200
Fax: (415) 923-1144
E-mail: ebarial@secompllc.com
Contact: Ellen Barial
SEC Compliance Consultants, Inc.
32 Saddlebrook Lane
Phoenixville, PA 19460
Phone: (610) 415-9261 x114
E-mail: Janaya@seccc.com
Contact: Janaya Moscony
Secore & Waller, LLP
12221 Merit Drive, Suite 1100
Dallas, Texas 75251
Phone: (972) 776-0200
Fax: (972) 776-0240
E-mail: jo@secorewaller.com
Contact: Jo Waller
Securities Compliance Inc.
40 High Way
Chappaqua, New York 10514
Phone: (914) 419-0092
Fax: (914) 238-2304
E-mail: kathryn.beller@att.net
Contact: Kathryn Beller
Securities Compliance Advisors, LLC
155 West 68th Street
Suite 405
New York, New York 10023
Phone: (212) 537-6555
Fax: (866) 495-4177
E-mail: cyoung@secadvisors.com
Contact: Cheryl Young
Securities Compliance Management, Inc.
2586 Brookhaven Chase Lane
Atlanta, GA 30319
Phone: (404) 841-8844
Fax: (404) 920-3288
E-mail: kyle@weekscompliance.com
Contact: Kyle Weeks
Securities Consulting Group, Inc.
183 Madison Avenue, Suite 204
New York, NY 10016
Phone: (212) 825-2040
Fax: (212) 825-2043
E-mail: song@securitiesconsultinggroup.com
Contact: Nebrissa Song
Securities Dynamics LLC
20533 Biscayne Boulevard, Suite 412
Aventura, FL 33180
Phone: (305) 466-4426
Fax: (305) 402-2218
E-mail: info@riaregistration.com
Contact: Scott A. Ritcey
Securities Resource Professionals, Inc.
5909 NW Expressway, Suite 295
Oklahoma City, OK 73132
Phone: (405) 720-9777
Fax: (405) 720-3199 Fax
E-mail: srp@compliancematters.com
Contact: Michaela Myers, President
Seward & Kissel LLP
One Battery Park Plaza
New York, NY 10004
Phone: (212) 574-1205
Fax: (212) 480-8421
E-mail: vangrover@sewkis.com
Contact: Robert B. Van Grover
The Shanley Consulting Group, Inc.
281 Green Street
Old Bridge, NJ 08857
Phone: (212) 509-0997
Fax: (732) 360-0330
Web site: www.shanleyconsulting.com
Contact: James T. Shanley, President
Shannon Sakamoto LLC
One Monument Way, Suite 200
Portland, Maine 04101
Phone: (207)772-3993
Fax: (207) 772-3933
E-mail: ns@shannonsakamoto.com
Contact: Naomi Sakamoto
Shustak & Partners, P.C.
401 West A Street, Suite 2330
San Diego, CA 92101
Phone: (619) 696-9500
Fax: (619) 615-5290
E-mail: Shustak@shufirm.com
Contact: Erwin J. Shustak, Esq.
Sims Moss Kline & Davis LLP
1000 Abernathy Road, Suite 310
Atlanta, GA 30328
Phone: (770) 481-7205
Fax: (770) 481-7210
E-mail: ghdavis@smkdlaw.com
Contact: Gilbert H. Davis
Stark & Stark, PC
Attorneys at Law
PO Box 5315
Princeton, NJ 08543-5315
Phone: (609) 895-7255
Fax: (609) 895-7395
E-mail: tgiachetti@stark-stark.com
Contact: Thomas D. Giachetti, Esq.
Chairman, Securities Practice Group
Stile Compliance Services, Inc.
12205 Leavenworth Rd.
Omaha, NE 68154
Phone: (402) 932-8038
Fax: (402) 932-8038
E-mail: annzemann@cox.net
Contact: Ann Zemann
St Ives Financial
75 Ninth Avenue, 2F
New York, NY 10011
Phone: (212) 414-7300
E-mail: emma.medcalf@st-ives.com
Contact: Emma Medcalf
Business Development Manager
St Ives Financial - New York
Phone: 212-414-7509
Phone: 917-673-8581
E-mail: mostranskym@st-ives.com
Contact: Mike Mostransky
T & C Consulting Services, Inc.
2255 Parkside Drive
Austell, GA 30106
Phone: (404) 275-4798
Fax: (253) 323-4575
E-mail: tcampbell2255@hotmail.com
Contact: Todd L. Campbell
Taylor & Company
6118 W. Kimberly Way
Glendale AZ 85308
Phone: (623) 518-3893
Fax: (623) 518-4893
E-mail: taylorcompany@cox.net
Contact: Tracy D. Taylor
Tuscany Securities Consulting
39 Bella Donaci
Lake Elsinore, CA 92532
Phone: 951-245-6001
Fax: 951-245-6002
E-mail: amesrobian@msn.com
Contact: Anna Mesrobian
U.S. Corporate Support Services, Inc.
19W241 Landsfield Court
Downers Grove, IL 60516
Phone: (630) 910-7600
Fax: (630) 910-7515
E-mail: uscss@uscss.com or vancura@uscss.com
Contact: Sally M. Van Cura
Vista360
828 North Broadway, Suite 306
Milwaukee, WI 53202
Phone: (414) 431-4360
Fax: (414) 431-5360
E-mail: jsquires@vista360LLC.com
Contact: Jeff Squires
Westcott & Associates Ltd.
7668 El Camino Real, Suite 104-507
Carlsbad, California 92011
Phone: (760) 438-8623
Fax: (760) 632-8461
Web site: www.westcottandassociates.com
Contact: Dora Westcott
WorkStream Solutions
82 Brooks Street
West Medford, MA 02155
Phone: (617) 877-9229
E-mail: pvv@workstreamsolutions.com
Contact: Parul Vakani
Web site: www.workstreamsolutions.com
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