Solutions

Supporting Your Independence

Are the demands of securities-related compliance and firm administration compromising your success?

Hamilton Grant liberates independent investment banks specializing in Mergers and Acquisitions (M&A) for $5 million to $500 million revenue private companies from the time and costs associated with hiring, staffing and managing in-house compliance and administrative resources. 

Solutions

Regulatory Compliance

  • Branch Office Reviews
  • AML Compliance
  • Outside Business Activity Reviews
  • Books and Records for Broker-Dealer Activities
  • Regulatory Inquiries
  • SEC-required 3rd party CPA Audits

Licensing Requirements

  • FINRA Licensing
  • State Licensing

Digital Presence & Advertising

  • Email Capture and Retention
  • Advertising Review
  • Website Support and Retention
  • Social Media Support

Insurance

  • Errors and Omissions
  • Fidelity Bond

Hamilton Grant LLC
70 S. Lake Ave., Suite 700
Pasadena, CA 91101


© 2020 Hamilton Grant LLC 

Member FINRA
Member SIPC