Westcott & Associates Ltd. is a highly experienced consulting firm based in Carlsbad, CA, specializing in providing comprehensive services to broker-dealers. With over 25 years of expertise in the field, they offer assistance in B D registration, state registration, ongoing compliance, written supervisory procedures, continuing education, electronic FOCUS transmittal, expert witness services, and anti-money laundering measures.
Under the leadership of President Dora Westcott, the company is dedicated to ensuring compliance assurance and providing training for new principals and corporate officers in preparation for FINRA. Their commitment to excellence and personalized approach make them a trusted partner for broker-dealers seeking expert guidance in navigating the complex regulatory landscape.
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