Broker dealer consulting services

 Audit Highlights: Ensure the effectiveness and objectivity of your broker/dealer audits by allowing Brokerage Consulting Group to peform them for you. Partner with the compliance experts when registering with FINRA. Starting-up a new broker-dealer with an effective compliance. SCA provides SEC and FINRA regulatory compliance consulting services to investment advisers, broker dealers and private funds. The skilled professionals at M&K, CPAS are trained to maintain independence while providing cost-effective broker-dealer audit services. Compliance Consulting Exhibitors. For your convenience, Foreside offers customized, comprehensive consulting services to broker-dealers. This document provides a comprehensive guide to Broker-Dealer registration, including the laws, rules, and regulations. Ewton, President, Broker/Dealer Concepts, Inc. Brings over 30 years of business and securities industry experience to Broker/Dealer Concepts, Inc. Broker Dealer Change - Nationwide Financial Advisors Placement Firm, Places Financial Advisors with Independent Broker Dealers, Fee Paid - Call 678-670-9379. Since 1984, MGL has been providing comprehensive registration services to organizations seeking to form a new broker/dealer, acquire an existing broker/dealer and or. What is a broker-dealer? A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. (RLCS) is a leading provider of expert witness services related to the regulation of broker dealers, investment advisers and. The use of a Professional Consultant oftentimes allows you to complete the Finra (Nasd) Broker-Dealer Registration process in an efficient Way. MGL offers a full range of compliance and risk management services, designed to fit a wide range of broker/dealer’s needs, from the small boutique firm engaged in. Vigilant Compliance is a global leader in compliance consulting, compliance training and other services. Visit us today for information. We offer comprehensive hands-on consulting services in FINRA compliance, SEC compliance, regulatory audits, broker-dealer and RIA registration, back-office and accounting. Working closely with many firms in the financial services. We advise independent broker-dealers and investment advisers that. Securities brokerage professionals providing regulatory compliance, registration, audit, and back office services to broker dealers, RIAs, hedge funds, banks and more. FSC, Financial Services Consulting, LLC, offers technical, legal, front, middle, and back office support and consulting services to new and existing Broker/Dealers.

 Broker/Dealer Services Overview. Red Oak is a full-service compliance consulting firm offering a wide range of registration, compliance, and outsourcing services to. Examples of our broker/dealer consulting services include the following: Written Supervisory Procedures Review, Updates and Amendments. The Brokerage Consulting Group provides consulting and services to the broker/dealer industry. Brokerage Consulting Group provides broker/dealer start-up services. Founded in 1987, National Compliance Consultants, Inc. (NCCI) has offered a broad range of comprehensive registration and compliance services to over 1,200 Broker. The list includes vendors that offer a wide range of products and services for broker-dealer firms that help them. RND Resources Inc has vast securities industry experience ranging from business development. As a compliance consulting services firm. Broker Dealer Services SERVICES. Continuing Membership (CMA) Applications; Review, draft and update Written Supervisory Procedures (WSPs) and Compliance Manuals. Compliance consulting for the broker/dealer community including; CEO certification, written supervisory procedures, AML testing, branch office audits, and FINOP services. Broker-Dealer Services, Broker Registration, 3012 Review, AML Audit, CMA, Branch Office Reviews, Broker Compliance Consulting and more. Distribution / Broker Dealer Services. ALPS provides Distribution services to one of the broadest product and strategy mix of marketing materials in the industry. Our broad range of services for broker-dealers extend from guiding firms. For information on ACA’s broker-dealer services or to receive a proposal. BPM is a leading provider of regulatory and compliance solutions to Bay Area based broker dealers. We offer a suite of regulatory and compliance services, ranging. For our clients who wish to become a broker-dealer, we can help with broker-dealer compliance consulting and new membership applications on their behalf. Broker Dealer Compliance Services. In today’s complex regulatory environment, broker-dealers must adhere to strict compliance requirements that protect the. Regulatory Compliance Programs for Every Broker-Dealer. Regulatory Compliance offers compliance consulting and compliance products that will assist your chief. National Compliance Services (NCS): a consulting firm for federal and state registered investment advisers, hedge funds, mutual funds, and broker dealers.

 Regulatory Compliance is a securities compliance consultant service specializing in services for Securities Broker Dealers, Registered Investment Advisors. Oyster Consulting offers our broker-dealer clients a wide array of services. Our team is made up of experienced industry practitioners, not career. In financial services, a broker-dealer is a natural person, a company or other organization that engages in the business of trading securities for its own account or. Compliance + Ascendant's consultants provide professional, tailored services to broker-dealers. Firms may choose from the following services. SDDCO Regulatory Services (SDDCO-RS) gives expert compliance guidance and onsite assistance to emerging securities firms and existing FINRA member broker-dealers. Our services are customized to your specific needs. From a one person retail broker/dealer to full-scale multi-registered. Our dedicated benefits team offers integrated consulting and brokerage services, starting with comprehensive benchmarking, so you can see where your benefits package. All you need to know about starting a FINRA registered Broker/Dealer. Evan Rapoport is one of the principals of hedge fund research and services firm. Compliance + Ascendant’s consultants provide professional, tailored services to broker-dealers. Firms may choose from the following services. Whether you are an established broker-dealer, investment adviser, Asgard is a leader in the regulatory compliance advisory and consulting services industry. Raymond James Financial Services St. Petersburg, FL, Top 63 Independent Broker/Dealer Women Advisors in 2011. Broker-Dealer (BD) Applications. CMC can take you through the entire application process of becoming a broker-dealer with FINRA, SEC and State agencies. Broker Dealer and FINOP Consulting Services We can provide you r Br o kerage with reliable advice and experienced services to help you meet regulatory. Cordium works with US and international broker dealers, to help them meet their regulatory obligations and reduce their compliance risk profile. Focus on managing compliance, not people and operations. NRS provides program audit services for some of the nation’s largest broker. Dealer Consulting Services, Inc. We are a full service company assisting Dealers in all areas. Dealer license and renewals, corporations and.