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Janet Gentry has operated her own securites regulatory consulting firm working with numerous broker/dealers and registered investment advisors. The nature of the consulting consisted of initial firm set-up and the completion of NASD/SEC/State filings. Other services included consultation in back-office structure and training, registration of registered representatives, background checks, mock branch audits, advertising approval and filings, continuing education development of the firm element, product development, annual compliance meetings, resolving customer complaints, expert witness, arbitration assistance, preparation and participant in regulatory audits and membership interviews, and other miscellaneous regulatory written and electronic filings.
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