ComplianceWorks Overview

  • Service
  • Financing Advisory

  • Year Founded
  • 2007

Year Founded

  • Employees
  • 8


ComplianceWorks General Information


ComplianceWorks is a financing advisory firm based in Palos Verdes Estates, California. The firm was founded in 2007 and gives financial advisory services to investment advisers, broker-dealers, hedge funds and private equity firms.

Contact Information

Year Founded
Service Provider Type
Financing Advisory
Corporate Office
  • 75 Malaga Cove Plaza, Suite 5
  • P.O. Box 6
  • Palos Verdes Estates, CA 90274
  • United States
+1 (888) 000-0000

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ComplianceWorks Team (7)

Name Title Deals Office Contact
John Stutz Regulatory Consultant Palos Verdes Estates, CA
Thomas Krueger Regulatory Consultant Palos Verdes Estates, CA
Tim Dalton Director, Business Development Palos Verdes Estates, CA
Tracy Fitzpatrick Marketing Director Palos Verdes Estates, CA
Hilary Johnson Compliance Specialist Palos Verdes Estates, CA
You’re viewing 5 of 7 team members. Get the full list »

ComplianceWorks FAQs

  • When was ComplianceWorks founded?

    ComplianceWorks was founded in 2007.

  • Where is ComplianceWorks headquartered?

    ComplianceWorks is headquartered in Palos Verdes Estates, CA.

  • What is the size of ComplianceWorks?

    ComplianceWorks total number of employees/professionals is 8.

  • What service provider type is ComplianceWorks?

    ComplianceWorks's service provider type is Financing Advisory.

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