Testimonials

"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."

Jim Stuart
President & CEO, W. H. Stuart Mutuals, Ltd. 

"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."

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

"B/D 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."

John Durrett
President, MuniDirect.com, Inc.

"B/D 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."

Scott Mecham
President, Sawtooth Securities,