"B/D Compliance Associates is an integral part of our broker/dealer compliance program. We have used them on several occasions to conduct supervisory and AML reviews, annual compliance meetings and advertising reviews. Their registration and licensing services are a real value add for a small firm like ours. We plan to continue using their expertise for the long term so we can focus our time and talent on our clients. The staff is accessible and friendly."
Mark E. Chesen
SSG Capital Advisors LLC
"Our firm first contacted B/D Compliance Associates in the fall of 2007 following a referral by one of their clients. We requested their assistance with various compliance matters following a FINRA audit and Ginny Voos, Senior Consultant, assisted us with an overhaul of our supervisory system. We have continued to utilize their services and have found them to be extremely responsive to our needs and requests with our compliance questions and general consulting issues. Their expertise has proven to be most valuable to our firm and we look forward to our continued association for many years to come."
Avalon Investment & Securities Group, Inc.
"Probitas Funds Group, LLC has utilized the onsite compliance review services of B/D Compliance Associates, Inc. for several years. Their onsite annual review covers a number of compliance tasks for us, but most importantly NASD Rules 1120, 3010, 3011, 3012 and FINRA Rule 3130. B/D Compliance Associates also updates our WSP quarterly and handles FINRA registration and licensing. We plan to continue to use them as a valuable outsource partner in the future to help us meet our regulatory compliance obligations in an efficient manner."
Greg W. Hausler
Probitas Funds Group, LLC
have been using the services of B/D
Compliance Associates, Inc. for the
last two years. Carrie and Tiffany
were extremely helpful in attaining
our FINRA membership in a timely manner.
B/D Compliance Associates, Inc. helped
implement our firm’s Written
supervisory procedures, Anti-Money
Laundering program and Business Continuity
Plan. In addition, Carrie serves as
our FINOP, oversees our continuing
education program and conducts our
annual internal audits. B/D Compliance
Associates, Inc. helped us prepare
for our first routine FINRA examination.
Thanks to their help, our first FINRA
examination as a broker/dealer was
surprisingly painless. We look forward
to continuing our working relationship
with B/D Compliance Associates, Inc.
in the future."
Douglas J. McCartney
VRA Partners, LLC
"We began doing business with BDCA after an SEC audit. Our B/D had been attempting to keep up with new guidelines and pronouncements, but we recognized this difficult challenge and the need for professional help in this area. We were referred to BDCA and our overall compliance program has vastly improved.
BDCA overhauled our written supervisory procedures; oversees our continuing education program; and, conducts annual internal audits. As a result, we are much better prepared for regulatory audits. In the meantime, we formed a new B/D and BDCA led us through that long and tedious process from start to finish. We are grateful to have this relationship with BDCA which allows us to devote our time and energy to our money making endeavors while having the confidence that we are in full compliance of securities laws, rules and regulations."
John P. McDonough
Meridian Capital Partners, LLC
"B/D Compliance was extremely helpful
to us as we attained our FINRA membership.
Their knowledge of the application process
and contacts with FINRA, along with
their expertise in helping firms get
licensed was particularly valuable.
They educated us, answered our questions,
gave us guidance, provided useful report
templates, and kept us on track as we
navigated through the FINRA membership
process. We saved a significant amount
of time and energy by using B/D Compliance.
Thanks Carrie and Tiffany!"
Republic Strategic Advisory, Inc.
Compliance Associates, Inc. to set up
our broker/dealer allowed us to become
FINRA members in a quick, cost-efficient
manner. Their expertise proved
invaluable in conquering the regulatory
hurdles to FINRA membership. We
continue to use their services as a
critical component to our overall supervisory
Dilworth Global Placements Corp.
wanted to thank you and your excellent associate for
the great job your firm did with our FINRA Membership Application. Our application was very complicated, and
your guidance dramatically helped us gain FINRA approval
in record time! We look forward to using your firm to
help us file FOCUS reports and keep us current on upcoming
Stephen W. Yarbrough
CEO, First Ballantyne, LLC
"B/D Compliance Associates, Inc.
knows all of the trials and tribulations in obtaining
FINRA membership for a small firm. Carrie and her staff
were invaluable in acting as our liaison in our recent
application. Their service permitted us to become an
FINRA member without losing focus on our existing business.
I continue to rely on Carrie and her team to outsource all of my FINRA and SEC compliance needs.
"My firm has had 2 FINRA Routine Examinations
since becoming a member, and both went perfectly. Our most
recent FINRA examiner commented that Carrie's compliance
work for our firm was very thorough in every detail."
Pamela S. Johnson
President, JOPCO Securities, LLC
Compliance Associates assisted us in establishing FINRA Membership
in a very professional manner. They took care of all the
necessary filings and follow-up with FINRA very swiftly
during our registration and after we were approved for membership.
"Carrie Wisniewski and her team were instrumental
in ensuring we were off to the right start with the regulators
from the very beginning."
President, Sawtooth Securities,
LLC April 2001
Compliance Associates, Inc. does a wonderful job
and is uniquely suited for small and mid-sized BDs
without in-house compliance resources. Their relationships
and prior experience with our District FINRA office have
certainly helped in many different situations."
President, MuniDirect.com, Inc.
"The mock FINRA audit conducted by B/D Compliance Associates, Inc. was a positive experience. Carrie and her colleagues were very professional and effective during the audit. She has a well planned process and the report was very detailed. We hope to work with B/D Compliance Associates, Inc. again."
Compliance Officer, Vice President
BBVA Capital Markets, Inc.
"The staff at B/D Compliance
Associates, Inc. possesses a unique blend of both
regulatory and street experience. Their additional
insight into small business issues provides us with
continuing cost-effective, practical solutions to
our FINRA/SEC compliance efforts.
"B/D Compliance Associates,
Inc. served as a valuable asset in our FINRA Membership
Application process, and most recently provided us
with terrific advice during a mock FINRA-style audit."
President & CEO, W. H. Stuart Mutuals,