A big shout out and thanks to Scott Gottlieb for his guest post today on AdvisorBlogger.  Please feel free to post any questions or comments regarding his post today.  

Scott Gottlieb is President of U.S. Compliance Consultants, LLC, a full-service consulting firm that specializes in compliance and registration services for investment advisers and hedge funds.

Prior to founding U.S. Compliance Consultants, Scott practiced corporate and securities law in the New York and Los Angeles offices of Kelley, Drye & Warren LLP, an international law firm, as well as with various regional law firms. During the course of his legal career he has advised clients on federal securities regulation, investment adviser compliance, broker-dealer regulatory issues, venture capital financings and international joint ventures.

Scott is a frequent contributor to the Schwab Institutional Compliance Review newsletter and has been designated a compliance expert for AdvicePointä, the online investment adviser community sponsored by Reuters, the global information company. Scott is an honors graduate of Tufts University and the University of Connecticut School of Law.  Prior to law school, Scott maintained his Series 7 license as a Financial Consultant with Merrill Lynch & Co., Inc.

U.S. Compliance Consultants provides compliance consulting to clients advising on assets in excess of $160 billion and yet, its philosophy remains that the adviser with $10 million under management should be afforded the same high level of service and expertise as the adviser managing $1 billion. U.S. Compliance Consultants is a preferred service provider for all the major broker-dealer/custodians in the investment advisory profession including, Schwab Institutional, TD Ameritrade Institutional, Raymond James Financial Services, Scottrade Advisor Services and Fidelity (pending Summer 2009). For more information about U.S. Compliance Consultants, please visit www.uscomplianceconsultants.com.

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