Business Resources
COMPLIANCE SYSTEMS
Artisan Software - Maestro
Broker-Dealer back office software system
http://www.artisansoftware.com
COMMUNICATIONS
Global Relay Communications Inc.
Phone: 604.484.6630
North American (Toll Free): 866.484.6630
International: +1.604.484.6630
http://www.globalrelay.com
Smarsh, Inc.
E-mail management and archiving services
971-244-8749 or 866-SMARSH1
http://smarsh.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
ANNUAL FINANCIAL AUDITORS
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
North American Professional Liability Insurance Agency, LLC (NAPLIA)
E&O for investment advisors and financial professionals
1-866-386-2544
toms@naplia.com
http://www.naplia.com
Artisan Software - Maestro
Broker-Dealer back office software system
http://www.artisansoftware.com
COMMUNICATIONS
Global Relay Communications Inc.
Phone: 604.484.6630
North American (Toll Free): 866.484.6630
International: +1.604.484.6630
http://www.globalrelay.com
Smarsh, Inc.
E-mail management and archiving services
971-244-8749 or 866-SMARSH1
http://smarsh.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
ANNUAL FINANCIAL AUDITORS
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
North American Professional Liability Insurance Agency, LLC (NAPLIA)
E&O for investment advisors and financial professionals
1-866-386-2544
toms@naplia.com
http://www.naplia.com
