Broker-Dealer Services

FinServ Compliance Broker-Dealer Services

Broker Dealers continue to face an increasing number of regulations from the SEC, FINRA and individual States. FinServ Compliance is the premier consulting firm for the small and medium-tier firms. We provide transparency in our dealings and are the go-to consultants for budget conscious broker-dealers.

Our broker dealer services include consulting, registration, compliance services and continuing guidance are tailored to meet the needs and requirements of new and existing broker-dealer firms. Many of our professionals have decades of industry and/or direct regulator experience. FinServ Compliance Broker-Dealer services range from New Member Applications with FINRA to our premier ongoing compliance consulting contract and our hand-holding experience with unlimited phone consultation as part of our commitment to you and your firm.

Registrations & CMA

FinServ Compliance Solutions

Additional Services

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