Learn more about us
We are a Florida-based Compliance and Regulatory Consultant Firm since in 2008.
FinServ Compliance markets to small and medium tier financial entities that need compliance and regulatory guidance.
We are proud to be of service to many clients through the US and Latin America and Caribbean
The firm started after the founder served in various capacities at different Wall Street firms. Starting as a Registered Representative all the way to being the president of a broker dealer, we are aware of the needs all firms have to gain control and maintain a culture of compliance.