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Navigating Compliance with Coulter Strategic Services

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About Lisa Marsden

Coulter Strategic Services - named for my eternal mentor, my Mom - provides compliance coaching and education to advisory firms to help them strengthen and maintain their compliance programs. Before starting Coulter Strategic Services, I was a partner and member of the C-Suite at Financial Advisory Firms in Florida. I hold a degree in computer programming from Keiser University and the Investment Advisor Certified Compliance Professional Designation, and I am a CFA Investment Foundations Certificate Holder. I proudly served as the 2017 President of the Financial Planners Association of South Florida and was a Board member for several years. I am a member of the FPA of South Florida, the CFA Society of South Florida, the Florida Securities Dealer Association, and the National Society of Compliance Professionals.

Coulter Strategic Services also provides financial regulatory compliance education to advisory firms, industry conferences, webinars, and at the collegiate level for those seeking financial degrees.

The information provided is for educational purposes and shall not be construed as specific advice. The information does not reflect the views of any regulatory body, State or Federal Agency, or Association. All efforts have been made to report true and accurate information. However, the information could become materially inaccurate without warning. Not all information from third-party sources can be thoroughly vetted. Lisa M. Marsden or Coulter Strategic Services does NOT provide a legal opinion or legal recommendations.

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Professional Compliance Services


Full Professional Compliance Services

At Coulter Strategic Services, we understand the demands and challenges of maintaining regulatory compliance for financial businesses. We offer full ongoing services to support overwhelmed CCOs serving multiple roles. Our services are tailored to meet your specific needs, but generally include The Annual Review, The Annual Update Amendment for Form ADV, Review and updates to Form CRS as needed, Electronic Communication Review, Trading; Advertising, Political Contribution. We work closely with our clients to ensure that they can focus on running their business while we take care of regulatory compliance.


Project Services

At Coulter Strategic Services, we specialize in providing customized compliance solutions to help your business stay on track and meet regulatory requirements. Our team of experts will work with you to identify your unique needs and create a comprehensive plan to address them. From creating a new firm's compliance program to conducting an annual review and providing education to staff and CCOs on new rules and regulations, our project-based compliance services are designed to ensure smooth, successful business operations.


Customized Services

As a registered investment advisor, it's essential to stay on top of regulatory compliance. Our team of experts is well-versed in the latest rules and regulations, ensuring that our clients are always in compliance. We provide a range of services, including annual update amendments, ongoing support and training, and risk assessments, to name a few. With our help, you can rest assured that your firm is always up-to-date and in compliance, giving you greater peace of mind.

Compliance Educational Services 

At Coulter Strategic Services, we understand the importance of compliance in every aspect of your business, and we are here to guide you through the complex regulatory landscape. Our team specializes in creating customized solutions for your firm by offering educational services to teach your staff about overall compliance regulations and ensuring that compliance is everyone's job. We maintain an ongoing list of recordings focusing on key topics, including the Compliance Program Rule, Marketing, Code of Ethics, Investment Recommendations, Electronic Communications, and more. With our help, you can stay ahead of regulatory changes and mitigate the risks to your business.

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All material is for informational and educational purposes only and should not be regarded as legal advice or comment or as an official statement of Coulter Strategic Services, or any agents thereof. Nor shall it be considered customized compliance advice.  The views expressed in this material do not necessarily reflect the views of any regulatory body, State or Federal Agency, Association, or Coulter Strategic Services. All efforts have been made to report true and accurate information. We do not represent that this information is complete or accurate, and it should not be relied upon as such. All information is subject to change without notice.

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