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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
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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.
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FOCUS Reporting
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Net capital Rule 15c3-1
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Customer Protection Rule 15c3-3
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Written Supervisory Procedures
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Budgets Forecasting
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Tax Management
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Broker-Dealer Back Office
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Hard / Soft Dollar Research
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Fixed Income Hedge / Mutual Funds Asset Management
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Options
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NYSE Specialist
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Regional Specialist
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OTC Market Maker
PO Box 125
Middletown, NJ 07748
Ph: 732-533-5074
emccabe@arc-sysllc.com
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INTEGRATED INVESTMENT
SOLUTIONS LLC
http://www.intinvsol.com
Accounting and Fund
Administration
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Preparation of Net Asset
Valuations (NAV's)
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Maintain official books and
records
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Preparation of unaudited
financial statements/full financial reporting
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Reconciliation of portfolio
holdings
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Coordinate the preparation
of annual audited financial statements and tax returns
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Liaise with external
auditors, providing full audit support
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Provide customized
financial and operational infrastructure tailored to individual
requirements
Middle and Back Office
Services and Support
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Process and respond to
corporate actions
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Access to independent third
party pricing data for portfolio positions
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Customized position and
trading reports including multi-currency exposures
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Transaction processing and
trade reconciliations
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Interface with clearing
agents
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Cash Management
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Monitoring of custodian
cash movements
Investor Services
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All aspects of client
service and investor communications
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Maintenance of Shareholder
registers
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Subscription and redemption
processing
Integrated Investment
Solutions LLC
121 Summit Avenue (Suite
205)
Summitt, NJ 07901
Telephone: 908-315-3571
Facsimile: 908-315-3586
mstupay@intinvsol.com
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INTEGRATED MANAGEMENT SOLUTIONS
http://www.intman.com
COMPLIANCE AND CONSULTING
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Supervisory Procedure Manuals
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Audit Reviews
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AML Audits & Independent
Testing
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Training " Books and Records
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CRD
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Continuing Education
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Broker-Dealer Registration
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Investment Advisor Registration
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15c3-1 and 15c3-3 Computations and
FOCUS Filings
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Outsourcing FINOP's
RECRUITING
Temporary and Permanent Placement (at all
levels) in the following disciplines:
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Compliance
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Legal
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Accounting
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Trading
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Administration
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Risk Management
39 Broadway
Suite 1601
New York, NY 10006
(212) 509-7800
Compliance inquiries
please contact
Howie Spindel at (212) 897-1688
Recruiting inquiries
please contact
Rob Kramer at (212) 897-1693
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