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Carrollton Partners of Westminster, Maryland

SEC Reporting and Governance Services

A business success story will not read that Securities and Exchange Commission (SEC) reporting work was management’s effective use of their time.

A partnership with our firm will take the tasks that can often become a significant drain on not only your time, but cash resources, off your hands so you may better write your success story.

Whether you are an existing publicly-traded entity, or desire to become one, today’s operating environment for small companies is a complex one. Carrollton Partners specializes in SEC financial reporting and governance and are skilled to perform the functions of multiple service providers. If you desire, we are cost effectively woven into the daily operations of your business, without being intrusive to maintain your public reporting requirements with the SEC as well as Sarbanes-Oxley.

We have the ability to guide your organization through the process of going public on the most appropriate platform, and most importantly our firm’s talents are showcased by keeping your company there.

Through our resources or third-party providers, Carrollton Partners assist you with the following services:
  • Public reporting requirements (Forms 10-K, 10-Q, 8-K, 14A, etc.)
  • EDGAR/IDEA filing
  • Ongoing corporate governance
  • Investor relations support
  • Obtaining listing on additional stock exchanges
  • Raising additional capital
  • Restructuring, mergers and other types of business combinations
  • Sarbanes-Oxley compliance
  • Filing deadlines and extended deadlines

We’ll take the responsibility of knowing what your business needs to file and notifying your third-parties what forms are needed. Or if you prefer, we’ll use our resources. Either way-let us write this chapter of your success story for you.

Reporting & Governance Tips

Non Accelerated Filers
10-Q Filing Due Date
May 14, 2017
The due date has passed.

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Client Testimony...

"Our experience working with Rick and the staff at Carrollton Partners has been fantastic, and tremendously helped steer our business to flourish! Rick quickly answers every call and question, and his guidance has helped us to develop and maintain policies and produces, while improving our financial picture. Enlisting the services at Carrollton Partners set my mind at ease; I would absolutely recommend working with them!" ~ Public Company CEO, New York, NY

Have Questions?

What does SEC Stand For?

SEC stands for the U.S. Securities and Exchange Commission. Visit their website at!

Carrollton Partners
Call us at 410-861-5626
77-79 East Main Street
Westminster, MD 21157
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Carrollton Partners
77-79 East Main Street
Suite 406
Westminster, MD 21157

Phone: 410-861-0150
Fax: 410-861-6881
Rick Leimbach, Principal & CFO Advisor

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