broker dealer compliance consulting firms

Veber Partners is an investment banking firm that provides specialized advice to business owners, We are one of the few FINRA registered Broker-Dealers located in the Portland Metro area that provideresearch and analysis, and the most experienced financial consultancy. Our professionals take a practical approach and

Smith Wallace is a leading public accounting firm in the Midwest. They offer services that and local taxes, sales and use tax consulting, credits and incentives, and property tax and . Brown Smith Wallace serves many industries, including broker-dealers, captives, government, health care, insurance companies, not

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

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

.C. is an aggressive, innovative law firm dedicated to offering top-tier legal servicesexperience with securities litigation, including arbitration of broker-dealer disputes, and securities regulatory defense (SEC, related areas such as securities finance, underwriting, compliance and corporate governance. We take pride

a firm specialized in securities law, providing services to small and medium-sized businesses seeking capital, Broker-Dealers requiring compliance

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

platform. Their goal is to help financial services firms create successful strategies and develop new business opportunities the world, including top 50 global asset management firms, banks, insurance companies, broker/dealers, consulting firms, and private equity