Compliance

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WGK Compliance and Regulatory Services Group offers Registered Investment Advisors and Broker-Dealers a full array of resources designed to help them comply with their regulatory obligations while still pursuing their business goals. Whether you are just starting your firm, considering a transition to a new environment or simply need advice concerning your existing practices, WGK Regulatory and Compliance Services Group can provide the support you need in a cost efficient, effective manner. We’ll work with you to help identify your firm’s specific needs then help design and implement a program tailored to meet them.

Registered Investment Advisors

Broker-Dealers

Dionne Fajardo

Trisha Cram