Financial professionals and The Legal Department

Financial Professionals

At The Legal Department, we have experience working with many different kinds of financial professionals, from accountants and CPA’s, financial advisors and wealth managers, to daily money managers and insurance agents. In an industry where customers are at the center and information is constantly changing, it’s important to get the legal help you need to succeed and keep helping others.

Most often our clients who are financial professionals come see us to help improve their ownership agreements and ensure they are compliant with all regulations. These components are essential to have in place for your business to have a strong foundation. If you would like more information on how we assist small business owners in this industry, check out our Resources tab above.

Financial professionals and The Legal Department

Schedule Your Introductory Meeting With Us!

Want to see how we can help you create the legal infrastructure you need to grow and build your business the RIGHT way?

Here’s what our clients who are financial professionals are saying:

“The Legal Department helped me get my business up and running quickly and I will definitely be going back to them for any future business legal needs.”

Alicea Cosmo, Infinity CPA Solutions

“I have worked with Laurie for a number of years and I must say that she understands law from a business persons perspective. Every time I have an issue to discuss with her she not only discusses the legal aspects of the issue but she discusses the business ramifications.”

John Harman, Integra Insurance Solutions

“Jena and Laurie and The Legal Department team have been helpful to both me and to my clients! They are responsive and helpful with customer service that exceeds expectations!”

Linda Forde, The Forde Firm

Request Our Financial Industry InfoSheet

We created this InfoSheet to help you better understand how we can assist with your particular profession’s legal needs.

For financial services, the two areas of most concern are highlighted below:

Entity Structure

The type, organization, structure, and governance of your business is the most basic aspect of your foundation.

Regulatory Compliance

Many service professionals are governed by specialized rules and regulations in addition to general regulations.

Client Relationships

Having direct, honest relationships with your clients is the key to repeat business, referrals, and long-term success.

Vendor Relationships

When you’re the client, understanding the agreement and how the relationship should work is critical.

Worker Relationships

Relationships with an employee or independent contractor need to be defined to protect your business and clients.

Owner Relationships

Without structure or guidelines to establish expectations and accountability, business partners can pose a high risk.


An important part of protecting your brand is making sure you trademark rights are in place. 


Copyrights capture a broad range of things you create for your business or for your clients. 

We Are Experienced. We Serve Small Businesses in Florida. 

At The Legal Department, we are experienced advisors to small businesses in the financial industry throughout the state of Florida.

The Legal Department was created  to give the attention, guidance and knowledge finance professionals need to grow and protect their businesses. We are forward-looking, helping our clients to embrace their opportunities while also protecting against liabilities.

We don’t do any hourly billing. All our services are provided on a flat fee basis, which allows us to be transparent with our clients so they know the costs before they hire us. Our mission is to allow small finance-based business owners to get the legal advice they need in a way that is simple, dependable and effective.

We offer a wide range of services to help support financial professionals looking to do things the right way. Examples of the legal areas we assist with include, Business Formations, Ownership Agreements, Vendor Agreements, Service Agreements, Employee Agreements, Trademarks, Copyrights, and Regulatory Compliance.

We send out one Newsletter per month and one Legal Report per month. If you would like to receive this monthly information, sign up below.