SEC Compliance Consultants, Inc. (SEC³) helps organizations bridge the SEC compliance knowledge gap. SEC³ is a regulatory compliance consulting firm serving investment advisers, private funds, investment companies, broker-dealers and CPOs and CTAs since 2003. SEC³ specializes in SEC, FINRA, CFTC, NFA and other securities regulations. Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators. For more information about our services, please visit www.seccc.com or contact us at info@sec3compliance.com.
View Top Employees from SEC Compliance Consultants, Inc. (SEC3)| Website | http://sec3compliance.com/ |
| Employees | 9 (8 on RocketReach) |
| Founded | 2003 |
| Address | 1140 Avenue of the Americas 9th Floor, New York, New York 10036, US |
| Phone | (212) 706-4029 |
| Technologies |
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| Industry | Financial Services, Finance General, Investment Adviser Regulation, Finance, Hedge Funds, Investment Company Regulation, Private Equity Funds, Investment Company Outsourced CCO Services, Real Estate Funds, CFTC/NFA Regulation, Broker Dealer Regulation, Director Training, Personal Trading Compliance |
| Competitors | ComplianceWorks, Inc, Integrated Compliance Solutions LLC, Regulatory Compliance Solutions Inc. "RCSI, Securities Compliance Advisors, Simon Compliance LLC |
| SIC | SIC Code 87 Companies, SIC Code 874 Companies |
| NAICS | NAICS Code 54 Companies, NAICS Code 5416 Companies, NAICS Code 541 Companies |
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SEC Compliance Consultants, Inc. (SEC3) Questions
Janaya Moscony is the President of SEC Compliance Consultants, Inc. (SEC3).
8 people are employed at SEC Compliance Consultants, Inc. (SEC3).
SEC Compliance Consultants, Inc. (SEC3) is based in New York, New York.
The NAICS codes for SEC Compliance Consultants, Inc. (SEC3) are [54, 5416, 541].
The SIC codes for SEC Compliance Consultants, Inc. (SEC3) are [87, 874].
Top SEC Compliance Consultants, Inc. (SEC3) Employees
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ViewJohn Lukan
Managing Director at SEC Compliance Consultants, Inc. (SEC3)
New York, New York, United States11 -
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Brian Robling
Senior Compliance Consultant at SEC Compliance Consultants, Inc. (SEC3)
Waxahachie, Texas, United States15+ -
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