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Compliance 911 Solutions
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Business Resources


COMPLIANCE SYSTEMS

Artisan Software - Maestro
Broker-Dealer back office software system
http://www.artisansoftware.com

GenTech - Technology Solutions for the Financial Industry, LLC
Dean Rager, President
9055 E. Mineral Circle Suite 105
Centennial, CO 80112
1.877.358.1324
http://
www.gentech-llc.com
marketing@gentech-llc.com

Smarsh, Inc.
E-mail management and archiving services
971-244-8749 or 866-SMARSH1
http://smarsh.com

COMMUNICATIONS

Global Relay Communications Inc.
220 Cambie Street, 2nd Floor
Vancouver, BC V6B 2M9
Phone: 604.484.6630
Fax: 604.608.2941
North American (Toll Free): 866.484.6630
International: +1.604.484.6630
accounting@globalrelay.net
http://www.globalrelay.com

FINANCIAL AND OPERATIONS PRINCIPAL SERVICES

DFK Financial Services Inc.
Contact: Daniel Kiernan
Phone: (707) 557-5172
1714 Franklin Street, Suite 100-357
Oakland, CA  94612

dfkfinsvcs@aol.com
http://www.dfkfinancialservices.com

Elizabeth Tractenberg, CPA
FinOP and Auditing Services
elizabeth@tractenberg.net
http://tractenberg.net

Loraine Wiser
FinOP and Auditing Services
(619) 885-1852
lorainewiser@yahoo.com

FinOp Control
Nicolette (Nikki) Denney
FinOp and Compliance Consulting
Phone: (888) 500-0042, Ext. 2
Direct: (760) 815-1817
http://www.finopcontrol.com

FINANCIAL SERVICES

Westland Financial Services
Insurance based financial strategies for investment professionals
http://www.westlandinc.com


ANNUAL FINANCIAL AUDITORS

Elizabeth Tractenberg, CPA
3832 Shannon Road
Los Angeles, CA 90027
(323) 669-0545
(310) 435-0746 (fax)
http://www.tractenberg.net

Joseph Yafeh CPA, Inc.
A Professional Accounting Corporation
11300 W. Olympic Blvd., Suite 875
Los Angeles CA 90064
(310) 477-8150
(310) 477-8152 (fax)

Kevin Breard (Breard and Assoc)
9221 Corbin Avenue, Suite 170
Northridge, California 91324
Phone: (818) 886-0940
Fax: (818) 886-1924
http://www.baicpa.com

LIABILITY PROTECTION

Rrada
Liability Management and Arbitration Defense
(516) 222-2285
information@rrada.com
http://www.rrada.com


North American Professional Liability Insurance Agency, LLC (NAPLIA)
E&O for investment advisors and financial professionalsContact:Tom Schrandt
1-866-386-2544
toms@naplia.com
http://www.naplia.com


Address:
6977 Navajo Road, Suite 134
San Diego, California 92119
Phone: (619) 466-0015
Fax: (619) 393-0174
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