LeGaye Regulatory Support Services LLC - Financial & Regulatory Compliance
Tel: 281.367.2454
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Broker Dealer (BD) Services

LeGaye Regulatory Support Services provides extensive regulatory  support services for broker-dealers, including:

  • BD Registration Services
  • Compliance Program Testing
  • Anti-Money Laundering
  • Written Supervisory Procedures
  • FINOP & Financial Services
  • Regulatory Responses
  • Distribution, Structuring and Due Diligence
  • Ongoing Compliance Services
  • Broker-Dealer Contracts

Contact Us

2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380
Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
Make a payment

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