Going Independent?

Bowen Enterprises provides consulting services to Independent Financial Advisors and Firms. One main focus of our business is working with wirehouse/regional/captive advisors who are considering Going Independent. In any service industry, delivery, implementation, and support drive success. Financial Advisors seeking to "Go Independent" often find the road to be challenging. There are many hurdles and obstacles, both legal and practical, which must be overcome.

At Bowen Enterprises, we have identified these challenges and work closely and confidentially with Financial Advisers to help them assess whether Going Independent is right for them. We then work with them to understand their unique situation and business and walk them through the process to address the important factors and how they pertain to their situation to help them make an informed decision as well as address issues to better prepare them for a move.

In addition to this process, we also use our vast experience within the Independent Brokerage Industry to provide consulting services to Independent Firms and Branch Offices in the areas of Staffing, Compliance and Operations. Developing a successful relationship, creating your plan of action, and seeing it through, all distinguish Bowen Enterprises.

For more information please contact us at:

www.goingindie.com

Imhoff Consulting Project would like to help you to understand FINRA and SEC rules and regulations. We offer certain services designed to help you meet your compliance obligations, such as:

• Anti-Money Laundering Compliance

  • annual independent testing and procedures/updates

• Supervisory Procedures

  • updates and custom language for WSP, C/E and BCP manuals

• Regulatory Exam Prep

  • preparation for nasd audits and drafting response letters

• Branch Office Inspections

  • on-site compliance examination and written report

• Mock Audits

  • in-depth review of books and records compliance

• Regulatory Research

  • custom research and writing

• CRD Work

  • amendments, filings, notifications

Imhoff Consulting Project LLC

150 Elwyn Avenue Portsmouth, NH 03801

inquiry@imhoffconsultingproject.com

• Financial Advisors

• Sales and Branch Managers

• Book and no-book deals

ARC Consulting Systems LLC

Ed McCabe Managing Partner 
ARC Consulting Systems LLC 
PO Box 125 
Middletown, NJ 07748 

Highly accomplished executive financial manager, leveraging outstanding background to enhance corporate operations and accomplish company mission. Utilize 25 years of extensive, diverse experience in financial services, with total accountability for budget, operations, and compliance. Resourceful decision-maker, welcoming new challenges. Experienced with startups as well as established organizations; efficiently implement accounting software, policies and procedures. Offer administrative planning; instrumental in launching profit sharing, 401K, and health plans. Interact efficiently with outside counsel regarding legal and contract matters. Providing training and guidance to your staff. Adept in multitasking to truly enhance organizational success. Series 7, 24, 27, 53, 55 and 63.

 CFO/Controller for two Inc. 500 companies. 

• FOCUS Reporting 

• Net capital Rule 15c3-1 

• Customer Protection Rule 15c3-3 

• Written Supervisory Procedures 

• Budgets Forecasting 

• Tax Management 

• Broker-Dealer Back Office  

• Hard / Soft Dollar Research 

• Fixed Income Hedge / Mutual Funds Asset Management 

• Options 

• NYSE Specialist 

• Regional Specialist 

• OTC Market Maker

PO Box 125
Middletown, NJ 07748

Ph: 732-533-5074

emccabe@arc-sysllc.com