broker dealer compliance consultants

. We are one of the few FINRA registered Broker-Dealers located in the Portland Metro area that provide research and analysis, and the most experienced financial consultancy. Our professionals take a practical approach and work

in wealth management for individuals, and institutional investment consulting and management for retirement plans, endowments, and foundations standard. Gunter Financial Services is not a registered broker/dealer and is independent of Raymond James Financial Services

has been helping clients meet their broker/dealer and registered investment advisor compliance requirements. Our team of experts provide with regulatory audits. We offer a full service consultancy that can be tailored to each client’s

Goldcrest Consulting Services, LLC is a specialist in serving the financial needs of broker-dealers, regardless of their size or both financial and operational elements, all while ensuring compliance with industry regulations. Our team has extensive experience

, state and local taxes, sales and use tax consulting, credits and incentives, and property tax and international services. Brown Smith Wallace serves many industries, including broker-dealers, captives, government, health care, insurance companies, not for

The Quinn Law Group offers legal and compliance services to investment advisers, broker-dealers, and insurance producers. Our mission is

Brokers is a freight forwarding and customs brokerage service that specializes in international freight forwarding, import clearance, compliance, consulting

extensive experience with securities litigation, including arbitration of broker-dealer disputes, and securities regulatory defense (SEC, FINRA and other related areas such as securities finance, underwriting, compliance and corporate governance. We take pride in providing

to small and medium-sized businesses seeking capital, Broker-Dealers requiring compliance with SEC and SRO regulations, and wealth

the financial services industry and the biggest independent broker/dealer in the country. The company has been helping services. The firm also provides comprehensive operations support, compliance guidance, and business-building resources. With their expertise

50 global asset management firms, banks, insurance companies, broker/dealers, consulting firms, and private equity firms.

.C. Felhaber & Co. Inc. is an established Customs Broker in the United States with over two decades import/export, customs entry, freight forwarding, duty minimization, compliance and logistics. We have a strong track record advisory, comprehensive customs documentation and filing, trade finance consulting and more.