Your trusted partner in regulatory and compliance services for Broker Dealers, Registered Investment Advisors, Banks and MSB


Our mission is to help you achieve and maintain compliance with confidence

FinServ Compliance is a leading provider of regulatory and compliance services for Broker Dealers and Registered Investment Advisors.  With years of experience in the industry, our team of experts is dedicated to providing unparalleled customer support and customized solutions to meet your unique needs.


What we do

Consulting Services

Broker Dealers

Monitoring and enforcing regulations for broker-dealers, ensuring ethical practices and protecting investor interests is the BD priority. Our solutions make it right for your firm

Registered Invesment Advisors

Whether you are looking to establish a new RIA, state or SEC registration, we are the solution for you. Plus our ongoing compliance service will let you focus on your business.


MSB are in the news. Whether you are looking to establish an MSB or looking to review your AML rules and processes we make it easy for you.


If you are a small bank or regional bank, look no further for your BSA independent reviews. Our staff is experienced in just your type of institution.

Cyber Security

CyberSecurity is a top priority for regulators. Our cybersecurity testing will make sure you have the needed security to protect your business and your data.


If you are looking for your next compliance officer, operations manager, or general staff, you can rely on our extensive database of contacts to fill your next job opening.

What can we help your firm with?

We help companies stay ahead in a rapidly changing regulatory environment.