COMPLIANCEGUARD PRO Trademark
Trademark Overview
On Thursday, April 30, 2026, a trademark application was filed for COMPLIANCEGUARD PRO with the United States Patent and Trademark Office. The USPTO has given the COMPLIANCEGUARD PRO trademark a serial number of 99797176. The federal status of this trademark filing is NEW APPLICATION - RECORD INITIALIZED NOT ASSIGNED TO EXAMINER as of Thursday, April 30, 2026. The COMPLIANCEGUARD PRO trademark is filed in the Computer & Software Services & Scientific Services category with the following description:
Computer programming services, namely, Software as a service (SaaS) featuring software for automated compliance monitoring of financial advisor and registered investment adviser websites for adherence to FINRA Rule 2210 and the SEC Marketing Rule; compliance review workflow software for broker-dealers and registered investment advisers.
General Information
| Serial Number | 99797176 |
| Word Mark | COMPLIANCEGUARD PRO |
| Filing Date | Thursday, April 30, 2026 |
| Status | 630 - NEW APPLICATION - RECORD INITIALIZED NOT ASSIGNED TO EXAMINER |
| Status Date | Thursday, April 30, 2026 |
| Registration Number | 0000000 |
| Registration Date | NOT AVAILABLE |
| Mark Drawing | 4 - Illustration: Drawing with word(s) / letter(s) / number(s) in Block form |
| Published for Opposition Date | NOT AVAILABLE |
Trademark Statements
| Goods and Services | Computer programming services, namely, Software as a service (SaaS) featuring software for automated compliance monitoring of financial advisor and registered investment adviser websites for adherence to FINRA Rule 2210 and the SEC Marketing Rule; compliance review workflow software for broker-dealers and registered investment advisers. |
| Pseudo Mark | COMPLIANCE GUARD PRO |
| Pseudo Mark | COMPLIANCE GUARD PROFESSIONAL |
Classification Information
| International Class | 042 - Scientific and technological services and research and design relating thereto; industrial analysis and research services; design and development of computer hardware and software. |
| US Class Codes | 100, 101 |
| Class Status Code | 6 - Active |
| Class Status Date | Thursday, April 30, 2026 |
| Primary Code | 042 |
| First Use Anywhere Date | NOT AVAILABLE |
| First Use In Commerce Date | NOT AVAILABLE |
Trademark Owner History
| Party Name | NOT AVAILABLE |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 01 - Individual |
| Address | Lakewood, NJ 08701-4700
US |
Trademark Events
| Event Date | Event Description |
| Thursday, April 30, 2026 | NEW APPLICATION ENTERED |
| Thursday, April 30, 2026 | APPLICATION FILING RECEIPT MAILED |
