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Donaldson Compliance
Consulting, LLC

Donaldson Compliance Consulting, LLCDonaldson Compliance Consulting, LLCDonaldson Compliance Consulting, LLC

RIA (Registered Investment Adviser) Services:

  • SEC and State Registration
  • Written Supervisory Procedures/Compliance Manuals
  • Code of Ethics
  • Risk Assessment/Management
  • Compliance Training
  • Form ADV
  • Client Brochure
  • Form 13F and 13G
  • Solicitor Programs
  • Best Execution Analysis
  • Wrap Programs
  • Business Continuity Planning
  • Rule 206(4)-7 Annual Review
  • Mock Regulatory Audits
  • General Operational Consulting
  • General Compliance Consulting

BD (Broker Dealer) Services:

 

  • FINRA and State Registration
  • Written Supervisory Procedures
  • Continuing Education Needs Analysis and Training Planning
  • Annual Compliance Meeting
  • Anti Money Laundering Compliance
  • Business Continuity Planning
  • Branch Audits
  • Rule 3012 Reporting
  • Rule 3013 Reporting and Certification
  • General Operational Consulting
  • General Compliance Consulting

 Donaldson Compliance Consulting, LLC
PO Box 7269, Kansas City, MO  64113
913-707-7366
mdonaldson@donaldsoncompliance.com 

Copyright © 2026. Donaldson Compliance Consulting - All Rights Reserved.

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