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broker dealer compliance consultants

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Portland Veber Partners

Veber Partners

Portland,OR Company Opening Financial Services

. 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

Belton Gunter Financial Services

Gunter Financial Services

Belton,TX Company Opening Financial Services Commercial Insurance

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

Norcross Bridge Capital Associates

Bridge Capital Associates

Norcross,GA Company Opening

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

Bethpage Goldcrest Consulting Services, LLC

Goldcrest Consulting Services, LLC

Bethpage,NY Company Opening Financial Services

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

Glen Carbon Brown Smith Wallace

Brown Smith Wallace

Glen Carbon,IL Financial Services

, 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

Philadelphia Quinn Law Group

Quinn Law Group

Philadelphia,PA Legal Advice

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

Austin BD Flynn Worldwide Customs Brokers

BD Flynn Worldwide Customs Brokers

Austin,TX Logistics Express

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

Denver Berliner McDonald PC

Berliner McDonald PC

Denver,CO Legal Advice

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

Chicago Convex Legal

Convex Legal

Chicago,IL Legal Advice Patent Services

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

Southfield LPL Financial - Loren Morrison

LPL Financial - Loren Morrison

Southfield,MI Financial Services

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

Boston Cerulli Associates

Cerulli Associates

Boston,MA Financial Services

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

El Paso FC Felhaber

FC Felhaber

El Paso,TX Logistics Express

.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.