Los Angeles SEC Compliance Services & Consulting

Core Compliance & Legal Services, Inc.℠ provides regulatory SEC and State compliance consulting and services for the Los Angeles area. We have been servicing the Los Angeles area for more than 10 years and have the experience and resources needed to support your needs and assist in meeting your overall business objectives.

We offer compliance risk services, financial consulting, and other legal services for our Los Angeles clients. Our services include, but are not limited to,
  • Investment advisory and Investment Company consulting
  • Broker-Dealer consulting
  • Annual review and Risk Assessments
  • SEC & State Examination Preparation

View our full list of services here.

Los Angeles Compliance Professionals

Our Core Compliance team is comprised of the industry’s best. All our consultants are able to provide guidance, perspective, and expertise within the Los Angeles area. View a full list of our legal consultants here.

Contact us today to learn more about our offered services and to talk with a Core Compliance specialist!

Los Angeles Office