Securities Regulation Services

Since 1979, Cynthia King has advised broker-dealers and investment advisers regarding securities industry regulatory and compliance issues.

She has extensive experience registering new advisors and broker-dealers, setting up securities compliance programs and ongoing review of compliance programs.

Phoenix, Arizona

Specializing in Uniue Situations
Investment Adviser registration
Broker-Dealer compliance systems and reviews
Investment Adviser compliance systems and reviews
Supervisory and compliance procedures
Customer & advisory agreements
Broker-Dealer registration
Advertising issues
Regulatory inquiries