2. Why SSG Advisors LLC?
 Choosing the right consulting firm is challenging. SSG Advisors
strives to meet all of your regulatory needs so you can rest easy
and focus on what you do best.
 SSG Advisors is a leader in the compliance and regulatory services
industry. Our strength is providing reliable, efficient, and
reasonably priced services for broker-dealers, investment
advisers, hedge funds, and mortgage bankers/brokers.
 Our customizable services are designed so you can work closely
with our firm to structure a compliance program that is
appropriate for your firm’s unique regulatory needs.
 Our business is built on customer service and being responsive to
our clients’ needs. We work with you and the regulators to ensure
that you’re in compliance with applicable federal and/or state
rules and regulations.

3. Management Team Bio
Jonathan Hurd, Co-founder and CEO
Mr. Hurd has been working in the financial services sector, brokerage, investment advisory and regulatory industries
for over fifteen years. He is actively involved in all services offered by SSG Advisors. Mr. Hurd's regulatory compliance,
investment advisory, mortgage banking, and management background stems from his previous experience as a FINRA
Supervisor of Examiners and Chief Compliance Officer for several Financial Services firms during his career.
Prior Experience:
Formerly, Mr. Hurd was a Supervisor of Examiners at the NASD (n/k/a FINRA) in the New York District Office. While
with FINRA, he supervised routine examinations of FINRA member firms, conducted large enforcement cases with the
Justice Department and FBI. Mr. Hurd also assisted the district office with its ongoing training of new examiners.
Over the past decade, Mr. Hurd has worked for several firms in the capacity of Chief Compliance Officer and FINOP. His
experience involves full-service broker-dealer, investment advisory services, bank broker-dealers and securitization new
offerings. Mr. Hurd also served on the Board of Directors for many of these companies.
Mr. Hurd was also a Senior Adjunct Professor in Banking and Finance for Dowling College whereby he provided in-
depth knowledge and related work experience to MBA students as it related to the U.S. securities markets and financial
institutions. He was responsible for introducing students to the subjects of financial derivatives, foreign stock
exchange, hedge transactions and risk management.
Mr. Hurd earned both his bachelor's degree and masters degree from Dowling College in accounting and banking and
finance, respectively. Mr. Hurd also holds the Series 7, 24, 27, 53, 55, 63, and 66 licenses as well as his NYS Life and
Health Insurance licenses.

4. Richard Chun, Co-founder and President
Mr. Chun has over twelve years experience in the financial and mortgage services industries with particular
skills in lending, securitizations, collateralized-debt obligations, repurchase/warehouse facilities, whole
loan sales and compliance.
Prior Experience:
Trained as a lawyer, Mr. Chun worked at a large international law firm for five years where he represented
clients on various financing transactions, including secured and unsecured loans, credit facilities, re-
financings and debtor-in-possession lending. He also counseled underwriters of public and private
issuances of debt and equity instruments, including mortgage-backed securities.
He went on to join a firm client, a group of affiliated companies specializing in trading, structured finance,
asset management, investment banking and mortgage-related transactions, and became the head of its legal
department. His duties included counseling on a variety of compliance matters, including rules and
regulations governing broker-dealers, mortgage originators and servicers, and investment advisors. He was
actively engaged in developing strategic plans to implement policies and procedures affecting the operation
of a broker-dealer, mortgage originator, servicer and underwriter of mortgage loans.
Although Mr. Chun serves as a consultant to SSG clients, he can offer legal services through the Law Office of
Richard W. Chun, PLLC. He has a strong working knowledge of contract law and extensive experience with
various types of agreements common in operating a company engaged in trading, structured finance, asset
management, investment banking and mortgage-related transactions.
Mr. Chun earned his bachelor’s degree, cum laude, from Cornell University. He earned his law degree at St.
John’s University School of Law, where was an executive editor of the Law Review.

5.  SSG Advisors specializes in providing
regulatory consulting and advisory
services to:
 Broker-Dealers
 Investment Advisers
 Hedge Funds
 Our clients range from small retail
broker-dealer financial institutions to
full-scale multi registered
representative broker-dealers,
investment advisers, bank affiliated
broker-dealers, hedge funds and
financial holding companies.

6. Services Provided
Broker-Dealer Services Investment Adviser Services Hedge Fund Services
Written Supervisory Procedures &
New Investment Adviser Registration Registration and Filings
Compliance Manuals
Customization of Written Compliance Mock Examinations
New Member Applications
Policies & Procedures Compliance Policies and Procedures
On-site/Off-site Compliance Examinations
On-site/Off Site Mock SEC Examinations Anti-Money Laundering Consulting &
& Audits
Form ADV Part I and II Updates Training
Annual Independent Anti-Money
Electronic Communications Review & Privacy Policies
Laundering Testing & Reporting
Retention Code of Ethics
FINOP Services including FOCUS
Coe of Ethics Retainer Services
preparation and filing
Annual Internal Inspections Review of Websites, Advertisements &
Supervisory Control Testing Brochures
Firm Element Needs Analysis & Training Annual Compliance Training
Plan Act as Service Bureau for your IARD
Website, Advertising & Marketing Reviews Account
Annual Compliance Meetings
FINRA Examination Preparation
Form BD, ADV, U4 and U5 Updates
Business Continuity Plan

7. FINOP and Accounting Services:
Remaining in compliance with the broker-dealer requirements of your financial
institution is of the utmost importance. SSG Advisors provides outsourcing of FINOP
services. We have the licensing and experience that you need to satisfy the FINOP
requirements. We have relationships with leading accounting professionals with vast
accounting and books and records knowledge.
Services Offered
 Registering as your Financial and Operations
Principal - Series 27
 Monthly accounting services
 Net Capital Computations
 Monthly or Quarterly FOCUS II or IIA preparation,
review, and electronic submission to FINRA
 Schedule I

8. What sets SSG Apart?
At SSG Advisors we know you have options when it comes to compliance services
and products.
The consultants at SSG Advisors recognize that too many firms talk a great deal
about customer service, but do not put words into action. We appreciate the
meaning of the word service and we appreciate your business.
We will never try to sell you services you don’t need and we will structure a
consulting program that is appropriate for the level of service you require. We
measure our success by your satisfaction.
Our culture of service is built on the following:
 Long standing industry contacts and extensive industry experience
 Personalized solutions that are customized to meet your firm’s needs
 Attention to detail, so the we accomplish our aligned goals the first time
What sets SSG Advisors apart is that we are dedicated to building long-term,
trusting relationships with our clients.

9. 170 Montauk Highway 469 7th Avenue
PO Box 217 4th Floor
Speonk, NY 11972 New York, NY 10018
Phone: 631.801.2900 Phone: 212.359.9475
Fax: 631.910.2432 Fax: 917.591.9441