VCMCOMPLIANCE.COM

VCM Compliance Consultants

VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations. VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client's assets worry-free. Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.

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VCM Compliance Consultants | vcmcompliance.com Reviews

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VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations. VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client's assets worry-free. Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.

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VCM Compliance Consultants | vcmcompliance.com Reviews

https://vcmcompliance.com

VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations. VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client's assets worry-free. Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.

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vcmcompliance.com

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VCM

http://www.vcmcompliance.com/links.html

INDUSTRY LINKS / PRIVACY POLICY. SEC Home Page: www.sec.gov. FINRA Home Page: www.finra.org. Of Corporations: www.doc.ca.gov. Registration Depository: www.iard.com. VCM utilizes proprietary and/or confidential information provided by its clients solely for the purpose of providing efficient and effective compliance services in accordance with its Engagement Agreement . VCM will not at any time distribute, disseminate or sell any information provided by its clients to a third-party.

2

VCM Compliance Consultants

http://www.vcmcompliance.com/index.html

VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations. VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client's assets worry-free. Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.

3

VCM

http://www.vcmcompliance.com/services.html

Below are the services offered by VCM:. Initial Registration of Advisory Firm. Preparation of Monthly Financial Books and Records:. Minimum Financial Net Worth Computation (Net Capital). Client Billing (Monthly, Quarterly). Prepare and File Form ADV Part I. Prepare and File Form ADV Part II. File Annual and/or Amendment to Form ADV (I and II). Risk Assessment of Investment Strategy and/or client(s) portfolio. Services noted below may be provided on an individual basis. Industry Trends and Regulations.

4

VCM

http://www.vcmcompliance.com/firm.html

VCM Compliance Consultants is wholly owned and operated. By Sergio Vidal, a former Corporations Examiner with the Department of Corporations and successfully obtained the designation of Certified Public Accountant in the State of California. Mr Vidal's career has spanned working in the Federal and State Government Regulatory Environment. As an Internal Revenue Agent with the Internal Revenue Service, Mr. Vidal has conducted Title 31 Anti-Money Laundering Regulatory examinations of Registered Money Se...

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tradepmr.com

Becoming An RIA | Registration, Qualifications and Compliance to Become an RIA | Registered Investment Advisor Services | TradePMR

http://www.tradepmr.com/Views/AdvisorResources/BecomingAnRIA/GettingStarted.aspx

Need to sign up? What is an RIA? Benefits of Being an RIA. Market News and Data. The SEC and most states have mandated electronic filing via the Investment Advisor Registration Depository (IARD) and the Central Registration Depository (CRD) for certain forms. Both are administered by the Financial Industry Regulatory Authority (FINRA). While the IARD and CRD accommodate electronic filings, a few paper forms may still need to be filed manually in some states. Has a place of business in the state. Regardle...

tradepmr.net

Becoming An RIA | Registration, Qualifications and Compliance to Become an RIA | Registered Investment Advisor Services | TradePMR

http://www.tradepmr.net/Views/AdvisorResources/BecomingAnRIA/GettingStarted.aspx

Need to sign up? What is an RIA? Benefits of Being an RIA. Market News and Data. The SEC and most states have mandated electronic filing via the Investment Advisor Registration Depository (IARD) and the Central Registration Depository (CRD) for certain forms. Both are administered by the Financial Industry Regulatory Authority (FINRA). While the IARD and CRD accommodate electronic filings, a few paper forms may still need to be filed manually in some states. Has a place of business in the state. Regardle...

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vcmcompliance.com

VCM Compliance Consultants

VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations. VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client's assets worry-free. Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.

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