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Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors. Bill Singer's Website
May 23, 2013
You got your folks who dream. You got your folks who dream big. And then you got a guy like Saquib Khan, 51, Staten Island, NY, who, well, to be frank, truly dreamed outside the box – but for the fact that he’s headed for prison.As we come upon Khan in 20... Read On
Finop services are our core offering and our veteran staff is comprised of Series 27/28s ready to file your FOCUS Reports; help with your books, records and internal control procedure; and satisfy FINRA/GAAP accounting needs.
A professional website design company focusing on high-end and Web 2.0 web design for all business types and industries across the world. One of the oldest web development firms in business since 1997. Specializing in Custom website development and programming, graphic design, print media, flash, and brand identity enhancement. Mention you found us here and receive 10% off your project!
Free Quote: Custom Web Design
Broker Dealer Exchange is the leading financial services acquisitions intermediary, serving the buy-sell-merge needs of small to middle market financial institutions. Our core practice is intermediary; we specialize in locating ideal matches, and seeing the transaction through to successful completion in an efficient and timely manner.
World-Class Services Tailored to Your Needs
Plexus Consulting Group provides a broad-range of consulting and management services. We help clients overcome challenge, achieve excellence, and maintain success. We are an employee-owned firm, structured along lines of industry specialization.
Plexus Consulting Group provides a broad-range of consulting and management services. We help clients overcome challenge, achieve excellence, and maintain success. We are an employee-owned firm, structured along lines of industry specialization.
Kapco Group provides compliance, administrative, operational, trade, and general management advice and support. We will guide you through the new and continuing membership process, and customize your policies/procedures. Independent AML BCP OATS ACT TRACE audits. Temporary licensing solutions in various principal capacities and FINOP services available.
Advisor Placement Group specializes in independent broker/dealer and RIA transitions. Our goal is to assume the due diligence and negotiations with potential independent firms, so that financial advisors can keep their focus on their business and clients. We are independent; we are not tied to any particular story or firm, allowing us to serve as the Advocate of the Advisor.
We're Marks Paneth & Shron, an accounting and consulting firm committed to our clients' success. Our priority is to help them make smart decisions at every turn. We aim to provide value to our clients throughout the life of the relationship and to maintaining an open dialogue. We expect and encourage ongoing communication about the changing business, tax and financial landscape.
Investment Analytics (IA) is your one-stop legal/compliance consulting firm that operates more like your business partners--caring to be proactive with insight and analysis that compliments your case or your company’s strategy. Our expert team will get to know you, your business, and your challenges.
SSG Advisors LLC specializes in providing regulatory consulting and advisory services to broker-dealers, investment advisers, hedge funds, and mortgage companies. Our clients range from small retail broker-dealer financial institutions to full-scale multi registered representative broker-dealers, investment advisers, bank affiliated broker-dealers, hedge funds, and financial holding companies.
IMS is a full service financial consulting firm that has been servicing the needs of the financial services community since 1985. As such, we have been performing regulatory, financial, operational, and recruiting functions for securities broker-dealers and commodities firms both large and small for over two decades.
Providing reliable, convenient and reasonably-priced compliance and registration products and services for investment advisors and Broker-Dealers since 1994.
CFR Associates provides broker dealers, investment advisers and hedge fund managers with the services needed to support compliance. Founded in 2002 to fill the; compliance, AML, Internal Audit, Special Projects and Financial Principal needs of small and medium size firms.
Boundless is an expert internal auditing and governance firm. We help organizations integrate and improve their ARCs – Audit, Risk, and Compliance activities - to safeguard reputation and fiduciary integrity
At RIAICO we provide integrated solutions for advisors to solve their Compliance, Technology, Operations and Marketing needs. We provide turn-key solutions for Going Independent or Breakaways as well as established advisors. Once established we continually monitor each part of your business including compliance to ensure that all changes to your business are made efficiently including your website. More... Visit FAfreedom.com or RIAICO.com
This site was created to provide timely and practical information for Financial Advisors on Going Independent and all that's involved in the process. The site will feature articles, tools and other resources including one on one consulting services which we hope will inform, educate and inspire those who visit.
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