HOW I CAN HELP…

Right now, you’re looking for clarity, and accurate, simple solutions to your complex legal and compliance matters. You need someone who can turn the laws and rules governing what you do into working procedures and documents that accurately reflect your specific business. Don’t suffer from “regulation anxiety” by settling for supervisory procedures that are not doable and internal documentation no one understands.

There’s a better way. Let me show you.

I’m Gregory Levine and I am here to take care of your legal, regulatory and compliance concerns, so you can focus on helping your clients and growing your business. I work with FINRA on a daily basis (not exaggerating) and with state advisor regulators regularly. I always have my ear to the ground.

Whether you need to form a new broker-dealer or investment advisor, require a purchase and sale agreement when buying or selling a broker-dealer or investment advisor, or simply need ongoing compliance support, I can help!

I take a sincere interest in my clients and operate on the belief that we should give all that we know.

What do you want to know?

JUST ASK!