About Us

Our Commitment – Value Added Services from our Professional Team

The professional team at Financial Industry Consulting Associates, LLC (“FIC”) is committed to providing exceptional value to the financial services industry in compliance-related and regulatory matters. Our clients range from Fortune 500 companies to much smaller firms. The flexible programs we provide allow us to service various sizes of broker/dealers, investment advisers, and other investment professionals in state, industry, and federal compliance issues.

Our team is committed to offering and providing your company with many value-added services.

Who Do We Serve?

We primarily provide professional services to the following types of clients:

We also are engaged in strategic relationships with many financial consulting firms that provide services to other areas of the financial industry.

Why Choose FIC?

Our Expertise

Our professional team at FIC has a background in the regulatory, consulting and financial industries. Our level and depth of knowledge and experience in the financial industry allows us to serve your firm with a unique perspective, and to provide practical, value-added services. We believe that our level of expertise in the financial industry sets us apart from many of our peers.

You will be served by a trusted expert who will navigate regulatory requirements, including SEC and FINRA rules, as well as offering unique insight and skills to assist you to achieve your business goals.

We conduct compliance reviews, provide compliance and operational training, provide registration services, and offer various professional services and products in assisting your firm foster a culture of compliance.

Our Professionalism

Our guiding principle is to provide the highest level of professionalism in all of our interactions with our clients, as well as with prospects and employees. We are focused on protecting the best interests of your firm at all times; in maintaining strict levels of confidentiality; and we do what we say we will do for you and your firm.

Our Quality of Service

You have the right to expect quality. Our internal processes and services are built upon the primary foundation of quality. You can expect exceptional quality in all of the services we provide to your firm.

Our Objectivity

We offer objective solutions when we are engaged with our clients. Prior to our engagement, we conduct a review to determine whether the services that are sought by a potential client could be in conflict with any current services, clients, or the roles of the personnel on our team. You can have full faith and confidence that all of the services we provide to your firm will be at the highest level of objectivity.

Our Ongoing Advancement

Our firm is engaged in ongoing advancements in our knowledge base, technology, and the pulse of the industry. We offer current, up-to-date guidance in compliance and regulatory changes, as well as offering value-added services to assist your firm.

Our Transparency

We maintain a high level of transparency, and this is a foundation at our firm. Potential conflicts of interest, costs, or the various outcomes of our services are all communicated clearly and openly, and you can be confident that there will be no unexpected surprises. Consequently, our retention rate with our clients is extremely high. We are committed to developing and maintaining long term relationships by providing professional services that are above and beyond the expected.