San Diego SEC Compliance Services & Consulting

Core Compliance & Legal Services, Inc.℠ provides regulatory SEC compliance consulting and services for the San Diego area. We have been servicing the greater San Diego area for more than 13 years and have the experience and resources needs to support your compliance needs and assist with meeting your business’ overall objectives.

In our headquarter offices we offer compliance risk services, financial consulting, and other legal services for our San Diego clients. Our services include, but are not limited to,
  • Investment advisory and Investment Company consulting
  • Broker-Dealer Compliance consulting
  • Outsourced CCO/Compliance Services
  • SEC and State Regulatory Examination Assistance

View our full list of services here.

San Diego Compliance Professionals

Our Core Compliance team is comprised of the industry’s best. All our consultants are former in-house CCOs and provide invaluable guidance, years of experience, perspective, and valuable industry insight within the San Diego 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!

San Diego Office


1350 Columbia Street
Suite 300
San Diego, CA 92101