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.