fractional consulting, SEC adviser consulting, consulting, outsource broker dealer resources, investment adviser compliance, outsource compliance, adviser compliance, capital markets Jay Proffitt fractional consulting, SEC adviser consulting, consulting, outsource broker dealer resources, investment adviser compliance, outsource compliance, adviser compliance, capital markets Jay Proffitt

Introducing the GiGCXOs Contractor Portal: Empowering Our Community of Independent Consultants

Read More
broker dealer compliance, broker dealer registration, outsource broker dealer resources, register broker dealer, start a broker dealer, buy a broker dealer Jay Proffitt broker dealer compliance, broker dealer registration, outsource broker dealer resources, register broker dealer, start a broker dealer, buy a broker dealer Jay Proffitt

To Buy or Build? Weighing the Pros and Cons of Acquiring a Broker-Dealer vs. Starting One from Scratch

The decision to operate a broker-dealer is a significant step for any financial professional or firm. It offers control, flexibility, and potentially lucrative opportunities, but it also comes with a set of challenges. One of the first and most critical decisions you’ll face is whether to buy an existing broker-dealer or to start one from scratch.

Read More
sec audits, finra audits, finra, broker dealer compliance, annual finra audits, capital markets Jay Proffitt sec audits, finra audits, finra, broker dealer compliance, annual finra audits, capital markets Jay Proffitt

Ensuring Regulatory Excellence: No How GiGCXOs Audits Broker-Dealers and Advisers

At gigCXOs, we understand the critical importance of maintaining compliance and mitigating risk within broker-dealers and Registered Investment Advisers (RIAs). Our comprehensive audit services are designed to ensure that our clients not only meet but exceed regulatory expectations. Below is an in-depth look at the various audits we perform to safeguard your operations and enhance your compliance posture.

Read More
fractional consulting, consulting, broker dealer registration, start a broker dealer, regulatory experts, capital markets Jay Proffitt fractional consulting, consulting, broker dealer registration, start a broker dealer, regulatory experts, capital markets Jay Proffitt

GiGCXOs Launches "Broker Dealer In A Box" Product: Streamlining FINRA Registration in 90 Days

In an exciting development for the financial services industry, GiGCXO is proud to announce the launch of its innovative "Broker Dealer In A Box" product. This comprehensive solution is designed to simplify and expedite the process of registering a new FINRA broker-dealer, enabling firms to achieve registration in as little as 90 days.

Read More