Securities Compliance Management
Securities Compliance Management is a consulting company focused compliance consulting for Broker/Dealers and Registered Investment Advisers. We pride ourselves with our risk based approach and utilization of automated compliance technologies. Our approach is unique in that we utilize proprietary software, MasterSupervision, to meet the requirements of your compliance program while significantly reducing your administrative time and resources. By applying automated supervision software and document management tools, appropriate checks and balances will effectively reduce your risk and increase performance. There is a way to creative blend compliance and technology to create the ideal compliance culture.
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Verified contacts
7
available on Kipplo
LinkedIn employees
10
11 to 50 range
Open roles
—
no listings
Distinct roles
6
indexed titles
Tech stack
0
tools in use
Monthly traffic
1.5K
organic / mo
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Decision-makers and verified team members
7 contacts with verified email or phone · masked until revealed.
- JB
Jeanine Blackman
Director of Consulting, Broker-dealer Ria Consulting · Other
EmailPhone - KW
Kyle Weeks
Owner · General Business & Management
EmailPhone - CF
Colleen Fults
Compliance Consultant · Finance & Accounting
EmailPhone - DA
Deborah Agerton
Finop & Accounting · Other
EmailPhone - SW
Sarah Westbrook
Compliance Consultant · Finance & Accounting
EmailPhone - WE
Wendy Elliott
Compliance Specialist · Operations
EmailPhone
Showing 6 of 7 verified contacts
Top roles at Securities Compliance Management
6 distinct titles indexed · top 6 shown.
- 2compliance consultant
- 1compliance specialist
- 1director of consulting, broker-dealer ria consulting
- 1finop & accounting
- 1owner
- 1recruiter
Sign up to unlock all 7 contacts at Securities Compliance Management
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Sign up to reveal 7 verified contacts at Securities Compliance Management
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