RIA Legal Services |Securities Practice|

RIA Legal Services

We can handle your firm’s Form ADV and related documentation necessary for investment advisor registration with the SEC. From start to finish, you need experienced attorneys to do this right and maintain your firm’s most important records.

Once it’s formed we help your firm maintain full compliance with the Investment Advisers Act of 1940 and related rules, SEC guidance and policies, and applicable state statutes and regulations.

The Attorneys at Securities Practice Group Provide Legal Counsel & Representation for RIA Formation and Registration.

|Securities Practice|

RIA Formation & Registration

You need to do it right the first time. Save time and money by hiring professionals who know what they’re doing. Read More »
|Securities Practice|

Succession Planning

Protect your reputation long after you have sold your firm. Read More »
|Securities Practice|

Service Provider Contracts

Even business decisions like outside vendors pose legal questions you need answered – quickly and decisively – so you can get back to running your firm. Read More »
|Securities Practice|

FINRA Member Broker Dealer Firms

Christopher H. Tovar has been on the defense side of investor claims since 2007 after spending several years representing investors. He has also helped numerous brokers defend themselves from investor claims and in disputes with their employers. Read More »

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Securities Practice Group

The Law Offices of Christopher H. Tovar, PLLC
3990 Chilson Road
Howell, MI 48843
(832) 370-3908

mjolnir |Securities Practice|

The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*

* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.

Tags:   RIA formation financial services RIA formation financial advisor RIA financial advisor

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