FINRA Named As Defendant In Case Alleging Altered Electronic FilesToday's BrokeAndBroker.com Blog discusses a civil Complaint involving the somewhat esoteric legal issue of "spoliation," which involves the alleged destruction or altera... Read On
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.
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.
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.
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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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.
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.
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.
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.
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.
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
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.
Formed 1952, The SDDCO Group delivers outsourced professional support - remotely and onsite - to broker/dealers, commodity brokers, and investment advisers. Services include new entity registrations, accounting, bookkeeping, tax, regulatory compliance, AML testing, and CCO, CFO, and FinOp roles.
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