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Luxor Financial Group, Inc.
Luxor Financial Group, Inc (LFG) is a New York based Broker Dealer Consulting Firm that specializes in the formation of Broker Dealers and Registered Investment Advisers (RIA).
At LFG we are experts in:
> New Membership Applications;
> Continuing Membership Applications;
> Expansion Filings;
> Business Plans;
> Pro-Forma Financials;
> Written Supervisory Procedures;
> Anti Money Laundering Procedures and AML Independent Testing:
> Branch Office Audits;
> Conducting Annual Compliance Meetings and CEO/CCO Certifications;
> Responding to Regulatory Inquiries as well as FINRA, State and SEC Audits;
> Anti Money Laundering Reviews;
> Business Valuations:
> Business Development and General Compliance Services.
Additionally, we provide Case Management and Litigation Support for Regulatory Actions, Customer Complaints, Arbitration's and issues that relate to licensing disclosures.
Lawrence, NY 11559