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Information |
We service clients
nationwide through innovative use of technology and our network of
consultants. |
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Welcome to Brokerage Consulting Services!
Brokerage Consulting Services provides
consulting for NASD & NYSE
Broker Dealers, NFA Introducing Brokers (IB), Registered Investment
Advisors (RIA), and Securities Attorneys including:
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Compliance
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FinOp |
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Management |
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Audit |
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New NASD Membership
Applications and Change of Membership Applications |
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Hedge Fund RIA and Compliance
Consulting |
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Filing of ADV I &
II Review and updating for New SEC Rules: 206(4)-7 & 204A-1 |
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IARD & CRD services
(including 1017 change of membership and change of ownership) |
Brokerage Consulting Services also
provides Contract Principals and Expert Witnesses.
Click Here To Review Our Services! |