Securities Compliance Management Employee Directory

Q: What is Securities Compliance Management known for?

Securities Compliance Management was founded in 2003. Securities Compliance Management operates in the Financial Services industry.

Financial ServicesGeorgia, United States2-10 Employees

Securities Compliance Management is a consulting company focused compliance consulting for Broker/Dealers and Registered Investment Advisers. We pride ourselves with our risk based approach and utilization of automated compliance technologies. Our approach is unique in that we utilize proprietary software, MasterSupervision, to meet the requirements of your compliance program while significantly reducing your administrative time and resources. By applying automated supervision software and document management tools, appropriate checks and balances will effectively reduce your risk and increase performance. There is a way to creative blend compliance and technology to create the ideal compliance culture.

Find Securities Compliance Management employees' phone numbers or email addresses

Securities Compliance Management Global Highlights

North America
19

United States Of America
19

Securities Compliance Management's Leadership

K. W.
Owner
Mobile Phone
Email
K. T.
Owner
Mobile Phone
Email
J. B.
Director Of Consulting, Broker-Dealer/Ria Consulting
Mobile Phone
Email
C. M.
Compliance Manager
Mobile Phone
Email
N. R.
Principal
Mobile Phone
Email
C. F.
Compliance Consultant
Mobile Phone
Email
S. W.
Compliance Consultant
Mobile Phone
Email
M. T.
Mobile Phone
Email

Securities Compliance Management Employee Metrics

100%

50%

0%

2026

2025

2024

Legal
Accounting
Banking
Business
Consultant
Other

Contact profiles from Securities Compliance Management

Name

Title

Contact Info

Location

Last Update

K. W.
Owner
Mobile Phone
Email
United StatesGeorgia
Oct 17, 2025
K. T.
Owner
Mobile Phone
Email
UNITED STATES
Jul 16, 2025
J. B.
Director Of Consulting, Broker-Dealer/Ria Consulting
Mobile Phone
Email
United StatesGeorgia
Oct 20, 2025
C. M.
Compliance Manager
Mobile Phone
Email
United StatesNorth Carolina
Apr 23, 2025
N. R.
Principal
Mobile Phone
Email
Oct 24, 2024
C. F.
Compliance Consultant
Mobile Phone
Email
United StatesGeorgia
Sep 11, 2025
S. W.
Compliance Consultant
Mobile Phone
Email
United StatesNorth Carolina
Sep 10, 2025
M. T.
Mobile Phone
Email
United StatesGeorgia
Oct 23, 2024

Frequently Asked Questions

What is Securities Compliance Management known for?

Securities Compliance Management was founded in 2003 operates in the Financial Services industry. The company's main headquarters is located in 6445 Shiloh Road, Suite d; you can contact the main corporate office by phone at

+1-404-841-****

. Explore Securities Compliance Management's company overview page for more information.

What is Securities Compliance Management's most common email format?

Securities Compliance Management employees' email format typically follows the pattern of . Trying to find reliable and up-to-date employee contact data? Find more Securities Compliance Management email formats with LeadIQ.

How many employees does Securities Compliance Management have currently?

Securities Compliance Management has approximately 10 employees as of January 2026. These team members are located across 1 continents, including North America.

Who are Securities Compliance Management's key employees and leadership?

As of January 2026, Securities Compliance Management's key employees include:

Owner: K. W.
Owner: K. T.
Director Of Consulting, Broker-Dealer/Ria Consulting: J. B.
Compliance Manager: C. M.
Principal: N. R.

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