broker dealer compliance program

Central Texas businesses a customized financial wellness program for their employees, which includes an structure, the implementation of a revised retirement program (if needed), and ongoing plan monitoring Gunter Financial Services is not a registered broker/dealer and is independent of Raymond James Financial

clients meet their broker/dealer and registered investment advisor compliance requirements. Our team of experts provide accurate and informed analysis to ensure compliance knowledge and understanding of compliance regulations and audit processes,

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

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

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

International Automated Brokers (IAB) is a highly respected medium-sized sure all cross-border transactions are in full compliance with the latest customs regulations. We distinguish Automated Broker Interface), C-TPAT certification since 2003, US Customs coordination, textile specialists (TPL/Quota/Special Programs),

& DRE and approved as a trusted broker with Comergence Compliance, Mortgage Broker Compliance Specialists. Recently, Laleh has become a.org; a pending nonprofit that provides a program for Monarch Schools to give those from to raise funds and awareness for the program. In her free time, Laleh enjoys spending

to serve you by providing a quality insurance program and other financial services. We have always protecting the personal information you provide us. In compliance with the GLBA, we are providing you health insurers, property and casualty insurers, agents and brokers ) and to companies that perform marketing services

strongly believe in a maintenance program to help to keep clients in compliance and out of trouble. Our strongest referral sources are other CPA firms, Accountants, Mortgage Brokers/Loan