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443-541-8400 Or Click Here |
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| Questions? |
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Call Brent Hippert
at 443-541-8400 |
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We service clients nationwide through innovative use of technology and our network of consultants. |
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.
