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COMPLIERS

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.

 

PRACTICE
AREAS

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

                              MISSION

To provide custom compliance solutions for Broker-Dealer and Advisory clients from a partner they can trust.   

                              VISION

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. 

                              VALUES

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. 

New York City

Meet The Team

David Martin

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FOUNDER

Terresa Beaman

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MANAGING DIRECTOR

Michelle Geller

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SENIOR CONSULTANT

Mike Mora

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DIRECTOR OF TRADING AND CAPITAL MARKETS

 

CONTACT
COMPLIERS

CONTACT US

Email: info@compliers.com
Tel:  917-345-2461

For any general inquiries, please fill in the following contact form:

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