Advice, Assistance, and Direction, that's Practical, Innovative, and Cost Effective, Tailored to your Specific Needs.

WE ARE YOUR OUTSOURCING ALTERNATIVE.

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Services:

  • Provide compliance, administrative, operational, trade support, general management advice and support to local, national, and international financial service organizations.
  • Create and customize policies and procedures, designed to fit individual client needs.
  • Enhance existing supervisory, trading, operations, personnel, and compliance manuals.
  • Create Continuing Education programs, and conduct annual compliance meetings.
  • Interpret newly created or amended regulatory rules and regulations enacted by securities and banking regulators and translates them into an understandable practical format.

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We look forward to serving your organizations needs.

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Major Client Engagements

  • Foreign Bank Affiliated Broker Dealer
  • Foreign Venture Capital
  • Large US Bank Affiliated Broker Dealer
  • High Visibility Broker Dealer

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Services

  • Creation of new Broker-Dealer or Investment Advisor organizations.
  • Shepherding clients through the regulatory membership process at the SEC, FINRA and NFA.
  • Amending Broker-Dealer or Investment Advisor Registrations
  • Continuing Membership Applications.

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Locations

New Jersey

1335 Grandview Avenue
Westfield, NJ 07090-1755
Phone: 908-337-2028
Fax: 908-789-7436

New York

99 Park Avenue
3rd Floor
New York, NY 10016

Contact

Walter A. Kapuscinski walter@kapcogroup.com Wall Street


FINRA Broker Check


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