Our goal is to provide an unsurpassed level of customer service by tailoring services to meet the specific needs of the individual client.

B/D Compliance Associates, Inc. (BDCA) provides broker/dealer FINRA and SEC compliance consulting to both existing and start-up operations. The firm was formed in 1994 by Carrie Wisniewski, a former FINRA Senior Examiner. The associates of our firm all have practical broker/dealer experience, and some also have direct regulatory experience.

Our goal is to provide an unsurpassed level of customer service by tailoring services to meet the specific needs of the individual client.

Carrie Wisniewski has over 25 years of securities industry experience and has earned her MBA degree in Finance as well as the Certified Financial Planner™ designation. She also maintains several FINRA principal licenses.

Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. Most recently, she was employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements.

Carrie currently serves as President of B/D Compliance Associates, Inc., where she offers her clients the industry expertise she has gained from training and experience.

Download Carrie's résumé (PDF)

Tiffany Messenger has several years of experience in registration and licensing broker dealers and the representatives there under. She previously oversaw all registration and licensing for Thomas Group in Atlanta, Ga. Tiffany has been with B/D Compliance Associates, Inc. since January 2004. In addition to registration and licensing for several firms on an ongoing basis, Tiffany is also the project manager for new FINRA membership applications.