Broker-Dealer Services

FinServ Compliance offers a series comprehensive set of services with onoing guidance tailored to the specific  needs and requirements of your broker-dealer.

Registrations & CMA

  • New BD Registration with FINRA
  • CMA Applications with FINRA
  • State Registrations

FinServ Compliance Solutions

  • Anti-Money Laundering Review / Testing
  • Supervisory Control Review and Testing
  • Branch Audit and Review Program
  • Review of WSP
  • Tiered Annual Consulting Contract
  • Cyber Security Testing
  • Customized Email Rules
  • Act as Liaison on requests for information

Additional Services

  • Cyber Security Testing
  • Cyber Security Policies
  • Advertising Reviews
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