About Compliance On Call, LLC.

Compliance On Call, LLC provides a comprehensive outsourcing solution designed to promote efficiency and enhance your firm's business. Compliance On Call combines the expertise of our affiliate, Mainstay Capital Markets Consultants, Inc., with an affordable fixed monthly fee. Our consultants offer knowledge and experience that has been acquired during successful careers at the SEC, NASD, CFTC, Broker Dealers, Investment Advisors, and Banks. Simply choose the level of service you want, and allow your staff to focus on growing your business and bottom line.

The Financial Services Industry currently faces strategic and competitive challenges as complex regulation and requirements evolve. These regulations and requirements place tremendous demands on Investment Advisors and Registered Representatives. We understand that Broker/Dealers, Investment Advisors and Registered Representatives are professionals who are trying to do a very difficult job under difficult circumstances. These difficulties come in many forms including an ever-changing regulatory environment, less than cooperative markets, a litigious plaintiffs bar, and a demanding client base with high expectations. We believe our role is to provide the guidance and advice that enhances and protects our client's businesses. We are committed to working closely with each of our clients and pride ourselves on developing long lasting relationships. Ours is a tall order that we are well suited to fill.

Compliance On Call, LLC offers well over 100 years of compliance and regulatory experience at competitive rates. Contact us and we will provide a proposal based on the size, scope and complexity of your operation.