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SEC Investor Advisors - Home Page

A Service Provided by AllThingsData.com. More Apps from AllThingsData. Search for Organizations by Name:. Build a List Based on Criteria:. Search for information about investment advisers who are registered with the SEC or who are filing reports as. Exempt Reporting Advisers with the SEC. The majority of the data fields included in this business data source are from. Form ADV and the report’s column headings refer to specific questions within Form ADV. Search for a Company:.

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secadvisors.allthingsdata.com

SEC Investor Advisors - Home Page

A Service Provided by AllThingsData.com. More Apps from AllThingsData. Search for Organizations by Name:. Build a List Based on Criteria:. Search for information about investment advisers who are registered with the SEC or who are filing reports as. Exempt Reporting Advisers with the SEC. The majority of the data fields included in this business data source are from. Form ADV and the report’s column headings refer to specific questions within Form ADV. Search for a Company:.

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SCA Providing Regulatory Compliance Consulting

Securities Compliance Advisors, LLC is a leading regulatory consulting firm providing compliance and registration products and services to broker/dealers, investment advisers, family offices, hedge funds and private equity funds. Comprehensive and Current Compliance Programs. In a Rapidly Changing Regulatory World. SCA provides a broad range of compliance and regulatory services to the broker/dealer community. Our clients have found that outsourcing certain aspects of their compliance functions is a ...

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SEC Advisor Search

Where Can I Get Background Checks On Financial Advisors? SEC Investment Adviser Public Disclosure (IAPD) Database. Registered investment advisors (RIAs) and investment firms who manage over $100 million in assets must register with the U.S. Securities and Exchange Commission. FINRA is the investment industry's self-regulatory organization and it maintains a searchable database of approximately 4,430 brokerage firms and 629,530 registered securities representatives. NASAA list of state regulators.

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Sociedad Ecuatoriana de Cerveceros Artesanales - Home

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