SHARPEST TOOLS IN THE SHED
Whether you're building a new firm, reinforcing compliance resources, or repairing compliance deficiencies, Compliers' experienced CCOs and compliance professionals are trusted partners, with the right tools and resources for your Broker-Dealer or Advisory firm.
Broker Dealer and Advisory Compliance Solutions
FINRA New or Change Member Applications ("NMA" and "CMA")
RIA SEC/State Applications
Supervisory Calendars, Checklists, or Procedures
Form ADV/Brochure/Code of Ethics Updates
Anti-Money Laundering Audits
Risk Assessments/ Mock Audits
WebCRD Maintenance & Filings
Form CRS Updates
IARD Account Maintenance & Filings
SEC Rule 206(4)7 Testing
FINRA Rule 3110 Reviews
Custom Solutions and Outsourced Principals
Social Media, Advertising or Email Compliance Review Consulting
OUR MISSION, VISION & VALUES
To provide custom compliance solutions for Broker-Dealer and Advisory clients from a partner they can trust.
Compliers will become the premier boutique compliance consulting team servicing Broker-Dealer and Advisory firms by creating custom tailored compliance solutions for successful clients' unique needs and business models. Our Team's strong business relationships with regulators, our clients and our expert consultant network will be integral to meeting your objectives.
Compliers' core values represent a commitment to providing our services with integrity and reliability. These are the foundation of our company and the standards we expect.
Meet The Team