CMCOMPLIANCE.COM

Capital Markets Compliance

Broker-Dealer and Investment Adviser Compliance and Accounting Services. Highly specialized team of former regulatory securities industry professionals and accountants. Since 1999 we have been delivering a comprehensive suite of services based on our clients’ individual needs. FINRA, SEC, and MSRB Registration. Investment Adviser (IA) Applications. SEC and State Registration. Registered BD and IA Compliance and Annual Service Program. Accounting, Bookkeeping, FinOp, and Vendor Bill Pay. Atlanta, GA 30341.

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ALVAREZ, ENRIQUE

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ALVAREZ, ENRIQUE

3525 Hol●●●●●●●●dge Road

Nor●●●oss , GA, 30092

US

1.77●●●●7300

ri●●@cmcompliance.com

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ALVAREZ, ENRIQUE

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Nor●●●oss , GA, 30092

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1.77●●●●7300

ri●●@cmcompliance.com

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Capital Markets Compliance | cmcompliance.com Reviews

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Broker-Dealer and Investment Adviser Compliance and Accounting Services. Highly specialized team of former regulatory securities industry professionals and accountants. Since 1999 we have been delivering a comprehensive suite of services based on our clients’ individual needs. FINRA, SEC, and MSRB Registration. Investment Adviser (IA) Applications. SEC and State Registration. Registered BD and IA Compliance and Annual Service Program. Accounting, Bookkeeping, FinOp, and Vendor Bill Pay. Atlanta, GA 30341.

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Capital Markets Compliance | cmcompliance.com Reviews

https://cmcompliance.com

Broker-Dealer and Investment Adviser Compliance and Accounting Services. Highly specialized team of former regulatory securities industry professionals and accountants. Since 1999 we have been delivering a comprehensive suite of services based on our clients’ individual needs. FINRA, SEC, and MSRB Registration. Investment Adviser (IA) Applications. SEC and State Registration. Registered BD and IA Compliance and Annual Service Program. Accounting, Bookkeeping, FinOp, and Vendor Bill Pay. Atlanta, GA 30341.

INTERNAL PAGES

cmcompliance.com

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Broker Dealer Applications

http://cmcompliance.com/brokerdealer.aspx

Call us at 770.263.7300. CMC has been helping firms with broker-dealer applications with FINRA, SEC and the states since 1999. CMC has completed over 100 applications for many different types of broker-dealers, from clearing relationship introducing firms to merges and acquisition and private placement firms. Documentation required by FINRA/SEC. Click on the presentation below for further information on our BDapplication services:. Government and Municipal Securities. Repo and Securities Lending.

2

Accounting

http://cmcompliance.com/accounting.aspx

Call us at 770.263.7300. CMC has been preparing financial statements according to General Accepted Accounting Principles (GAAP), FINRA and SEC regulations for firms since September 1999. CMC works as an outsourced accounting, operations, and compliance department for small to medium-sized firms in the United States and abroad. Get reports based on your business and built to follow regulatory reports. Easy to answer regulators when they have questions. Financial Operational Principal Support.

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About Us

http://cmcompliance.com/aboutus.aspx

Call us at 770.263.7300. Approximate Number of employees:. More than 100 firms which range from single members to firms with 200 employees and registered representatives. The mission of CMC is to help the firms succeed by helping them with their compliance and accounting functions so that executives can get back to the job of running the firm and generating profits. Integrity as the cornerstone of personal and corporate conduct;. Respect for the worth of the individual;. Achieving goals through teamwork;.

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Employment

http://cmcompliance.com/employment.aspx

Call us at 770.263.7300. We will provide you with the tools and paid training opportunities to continue advancing your knowledge of financial systems. Once your resume has been submitted, a member of the Human Resources staff will review it. We will contact you if further information is needed, or if an interview is requested. CMC offers access to health care for the employee through Kaiser Permanente. Our plan is the Added Choice/Point-of-Service (POS) and HMO. CMC offers access to participate in CMC's ...

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E-Store

http://cmcompliance.com/ecompliancestore.aspx

Call us at 770.263.7300. Welcome to Capital Markets Compliance. We developed this store to save you time and money on compliance matters. Created by top financial industry consultants, our store will help you create reliable compliance documents, conduct audits and reviews, and help you with many of your compliance needs including training your employees, supervisors, and registered representatives. Our products are delivered the following way:. Do-It-Yourself " Audit Modules Programs:. Review Functions"...

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Capital Markets Compliance

Broker-Dealer and Investment Adviser Compliance and Accounting Services. Highly specialized team of former regulatory securities industry professionals and accountants. Since 1999 we have been delivering a comprehensive suite of services based on our clients’ individual needs. FINRA, SEC, and MSRB Registration. Investment Adviser (IA) Applications. SEC and State Registration. Registered BD and IA Compliance and Annual Service Program. Accounting, Bookkeeping, FinOp, and Vendor Bill Pay. Atlanta, GA 30341.

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