SEC³ Survey

SEC3 Compliance Consultants

Thank you for being a trusted partner of SEC Compliance Consultants, Inc. (SEC³). In order to continue to provide the white glove service and lighten the compliance burden for our clients, we wanted to gather valuable knowledge and insight. Please take a moment to respond to the following questions to help improve ways in which we can assist our clients! We look forward to continuing to succeed together. We appreciate your trust and your loyalty!

What type(s) of investment advisory services do you provide? (Please select all that apply)*

Financial planning Investment management for Individuals and/or small businesses Investment management for registered investment companies Investment management for pooled investment vehicles (private funds) Consulting services Other

Do you currently work with a compliance consultant?*

YES NO

How happy are you with your current compliance consultant?*

What would you like more help with from a compliance consultant?*

SEC³ Survey

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