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Core Compliance & Legal Services, Inc.
Solutions for Today's Business
Solutions for Today's Business
PRACTICE AREAS
Mr. Grouell has served the securities industry for 10 years and has extensive knowledge in broker-
dealer and investment advisory operations. Mr. Grouell has assisted both investment advisers
and broker-dealers with response to Offers of Settlement and Acceptance, Waiver and Consent
(AWC) matters, assessment of new business lines, mergers and acquisitions, entity formation,
mock regulatory examinations and policy and procedure review and revision. Mr. Grouell also has
consulted on audits, focusing on the areas of preparation and response, as well as risk
assessment identification. With his diverse knowledge, Mr. Grouell provides practical solutions to
complying with current regulatory demands.
LICENSES
- Broker-Dealer registration
- Mock regulatory audits and evaluations
- Investment Adviser Compliance
- Written Supervisory Procedures
Mr. Grouell has served the securities industry for 10 years and has extensive knowledge in broker-
dealer and investment advisory operations. Mr. Grouell has assisted both investment advisers
and broker-dealers with response to Offers of Settlement and Acceptance, Waiver and Consent
(AWC) matters, assessment of new business lines, mergers and acquisitions, entity formation,
mock regulatory examinations and policy and procedure review and revision. Mr. Grouell also has
consulted on audits, focusing on the areas of preparation and response, as well as risk
assessment identification. With his diverse knowledge, Mr. Grouell provides practical solutions to
complying with current regulatory demands.
LICENSES
- FINRA Series 7
- FINRA Series 65
| Dane Grouell Compliance Consultant |