Professional Services for Broker/Dealers

We provide a range of professional services for Broker/Dealers. Maintaining a comprehensive compliance program demands the highest level of knowledge, insight and understanding of the constantly changing regulatory scene. We address those issues related to compliance with SEC, FINRA, MSRB, and other applicable regulations.

Initially, we will engage in a discussion of your current status and needs. Through this process, we will work with you on determining those services needed and to assist your firm to advance understanding, knowledge, and compliance with regulatory requirements. We design our compliance services to match the needs of your firm, based upon the size and your scope of operations.

We provide a comprehensive range of professional services to broker/dealers including but not limited to:


  • Supervisory Controls Annual Review
  • Branch Office Inspections / Branch Audit Reviews
  • Business Continuity Planning Reviews
  • Identity Theft & Prevention Program Reviewz
  • Anti-Money Laundering Reviews
  • Mock Regulatory Reviews
  • Regulatory Exam Assistance and Preparation
  • Financial, Business, and Operational Risk Analyses
  • Customized Audits by Product, Department, Etc.
  • Secret/Mystery Shoppers

Training & Education

  • Annual Compliance Meeting Administration
  • Continuing Education Administration – Firm Element (Needs Analysis, Training Plan, Content Delivery, Creation of Records to Document CE Efforts
  • Continuing Education – Regulatory Element (Monitoring CE Status, CE Notifications, Announcements, Creation of Records to Document CE Efforts)
  • Anti-Money Laundering Training
  • Product Type Training
  • Department and Staff Training
  • Compliance and Supervision Training

Professional Services

  • Expert Witness Services
  • Expert Liability Analysis Services
  • Advertising/Communication Reviews (i.e. Retail Communications, Institutional Communications, Correspondence, Web Sites, Emails, and Social Media)
  • FINOP Services
  • Outsourcing Services (CCO, Municipal Principal, and Options Principal)
  • Employee and Firm Trading Reviews
  • Arbitration and Customer Complaint Investigations and Reporting
  • Regulatory Entitlement and Periodic Reporting (FOCUS, FINRA Contact System, LSRE, G-40, etc.)
  • Net Capital Preparation
  • Vendor Selection Reviews and Guidance
  • Regulatory Examination Assistance and Preparation

Registration & Licensing

  • Starting a Broker/Dealer (New Member Application)
  • Continuing Membership Applications (Material Changes to an Existing Broker/Dealer)
  • State Registration Applications and Responses
  • WebCRD Administration


  • Compliance and Operational Forms
  • Written Supervisory Procedures/Compliance Manuals
  • Disaster Recovery Plan/Business Continuity Planning
  • Anti-Money Laundering Program
  • Identity Theft and Prevention Program