Ready for an Honest, Award-Winning Approach?
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 and registered investment advisor regulatory compliance consulting to both existing and start-up operations. Founded by Carrie Wisniewski in 1994, a former FINRA Senior Examiner, the associates of our firm all have practical street experience, and some also have direct regulatory experience.
Our Team
Our Services
Contact UsOur Services
Policies & procedures
Compliance implements supervisory policies & procedures
Training of all staff
Careful and helpful training for all staff on procedures.
FINRA, SEC and State Registrations
Registration with government and regulatory agencies.
Testimonials
"Carrie and her colleagues have 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.”
John Durrett,
President, MuniDirect.com, Inc.