Regulatory Compliance Consulting
for Investment Advisers, Private Funds and Broker-Dealers.

Offering customized, regulatory compliance solutions for
financial services firms including outsourced CCO services

When it comes to business, you may listen to a consultant, but you trust your partners. At Hardin Compliance, our SEC and FINRA compliance experts form long-lasting partnerships for success.

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We provide real-world, practical solutions based in a focused understanding of your business along with expert knowledge of RIA and Broker-Dealer compliance requirements.

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