"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."

Das Borden
President/CEO
Avalon Investment & Securities Group, Inc
September 2009

"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
September 2009

"We 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
November 2008

“Our Firm has been using the services of B/D Compliance for the past five years. Thanks to their annual internal audits, supervisory system guidance, email updates, template forms and general consulting services we have a Compliance Department that is extremely organized and proficient. We recently had a routine FINRA examination which was remarkably successful thanks to the expertise of Carrie and her staff. We look forward to their continued support in the years to come.”

Colleen Corwell
Taylor Financial Services, LLC
July 2006

"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
March 2006

"I just 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 compliance issues."

Stephen W. Yarbrough
CEO, First Ballantyne, LLC
August 2003

"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
March 2003

Scott Mecham
President, Sawtooth Securities,
LLC April 2001

John Durrett
President, MuniDirect.com, Inc.
April 2001

"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."

Sonia Marbarak
Compliance Officer, Vice President
BBVA Capital Markets, Inc.
April 2001

"I utilize Carrie as if she were my part-time Assistant Compliance Officer and have her come on-site to my firm once each calendar quarter. Her ability to hone in on the issues that pose the greatest regulatory risks to our firm has greatly enabled me to enhance my overall supervisory system."

Sonia Marbarak
October 2003

"Carrie and her associates at B/D Compliance Associates delivered their engagement commitments on
time with excellent quality. Her ability to find solutions where regulatory or business impasses appeared inevitable proved she knows the territory and how to navigate through it. I also observed that she knows the Chiefs, the Indians and where some of the bodies are buried. A great combination of competency, integrity, real world savvy and personality."