Welcome

G Genco & Associates, Inc., provides customized services designed to address the needs of broker/dealers (BD), investment advisors (RIA) and legal service providers.  Our work is tailored for each of our clients, and not “cookie-cutter” results. Our Consulting forte is small to mid-sized firms; we can help you manage and simplify the regulatory process. It makes “cents” for you to out source and focus your time on building your business.

The firm’s principal, Geraldine Genco is a seasoned compliance professional and has been in Compliance for the financial services industry since 1987. She was the former corporate head of compliance for two national broker/dealers and investment advisors in New York City. John Murray specializes in insurance, trust, and advisory issues, he has been in the financial services industry since 1972, and was the former CEO of NYLIFE Advisers. Terrence Grant is a mediator, and started with Merrill Lynch in 1965. Our experience helps us understand how to implement a program to fulfill your client and regulatory obligations. Together with our 100 years + experience, we understand the ever changing compliance evolution of FINRA, the SEC and SRO's, as well as the competitive forces to maintain industry standards. We can provide you with a complete range of services to compliment your in-house staff. All of our clients and services are kept confidential. We can provide you with highly customized evaluation and procedures addressing your current operation or, simply fill a temporary staffing need. 

Our Experience Will Benefit Your Company

• Compliance Solutions
• Securities
• Investment Adviser
• Insurance Regulation
• Mediation
• Mock Audits
• IARD-CRD Registration & Filings
• Compliance Manuals
• Expert Witness Services

Important Links:
FINRA Rules
Securities & Exchange Commission
North American Securities Administrators Administration
Investment Company Institute
Securities Experts' Roundtable, Inc.
Various State Law Links 
In-House Training, Firm

If you have any questions or would like more information or references please contact us via the e-mail or phone numbers provided under “contact us.” "Always diligent on the   behalf of our clients"