6600 Peachtree Dunwoody Rd 600 Embassy Row, Suite 575 Atlanta, Georgia 30328 ph: 770-352-0120 866-352-0120 fax: 770-352-0038

Investment Advisors & Investment Companies
Mainstay Capital Markets Investment Advisors & Investment Companies Mainstay’s Investment Advisor and Investment Company services provide our clients with the regulatory and compliance expertise necessary to meet the ever changing challenges of the current regulatory environment.  Our services are tailored to the needs of our clients to ensure compliance with the SEC or state regulations and rules.  Mainstay also offers our clients a compliance outsourcing solution that allows them to concentrate their efforts on growing their business and its bottom line.

Experience ● Understanding ● Solutions

Mainstay's Areas of Expertise and Services Include:

Regulatory and Compliance Services:

  • Advisory Agreements
  • AML Procedures/Reviews
  • Best Execution Reviews
  • Books and Records
  • Business Continuity Plans
  • Compliance Procedures Manuals
  • Compliance Training
  • Ongoing Education
  • Due Diligence/Product Reviews
  • Form ADV Preparation/Amendments
  • Forms U4 and U5 Amendments
  • Marketing, Advertising & Sales Review
  • Ongoing Review of Employee and Proprietary Trading
  • Operational Consulting
  • Outsourcing
  • Performance Advertising Review
  • Performance Reviews
  • Privacy Policy
  • Correspondence Review
  • Regulatory Examination Support
  • Regulatory Inquiries Assistance
  • Regulatory Mandated Consulting
  • Regulatory Reporting
  • SEC & State Mock Audits/Exams
  • SEC Filings, Form 13 F & Schedule 13G
  • Supervisory Policies & Procedures
  • Work Flow and Systems Analysis
Registration Services Additional Services
  • IAR Registration
  • IARD Administration
  • IARD Entitlements
  • SEC registration
  • State Registration
  • Due Diligence
  • Expert Witness
  • Litigation Support
  • Ongoing Review of Employee and Proprietary Trading
  • Recruitment/Executive Search
Mainstay Capital Markets Consultants, Inc. can assist with the formation of new Investment Advisors. For more information, click here.



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