Providing insight and direction!

Tel:   281-367-0380

Welcome to www.MGLConsulting.com

For more than 35 years, MGL Consulting and our staff have had a significant impact on our client, our regulators and our industry. Our professionals have served both the private sector and public sector in a variety of senior level positions. Their expertise encompases Litigation Support, Broker Dealers, Investment Advisers, Commodities Firms and spans over 400 years of experience between our professionals.

We have supported the compliance efforts of over 1,600 firms while advocating for industry firms of all sizes

Best in class Services

Extensive experience assisting and supporting Boutique, small, medium, large, retail, niche, capital market, clearing firms with navigating regulatory waters.

With a 35 year history of integrity, service and excelence.

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But how can we support You?

MGL's risk management and compliance services can help your firm navigate the regulatory environment while providing solutions designed to enhance your firm's performance. We pride ourselves in working as a true partner with our client to evaluate and provide solutions to complex issues which firms may face thus aiding their management team to ensure their firm's continuing success in today's regulatory and business envoirnment. Our professional staff takes pride in firsthand awareness of trends impacting the financial services industry, be they regulatory or opportunistic to aid our firms in ensuring they are prepared for what ever may come.

Key Services

Organizational Consulting

FINRA New Member Application

FINRA Continuing Member Application

Mergers & Acquisitions Consulting

CRD and IARD Administration

Investment Advisor Registration

Professional Development

Compliance Examinations

Litigation Support

Financial Reporting and FINOP Services

Compliance Manuals

Independent Consultant Reviews


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