Testimonials
“We have used consulting services from BD Compliance Associates for over 25 years, encompassing all kinds of issues and forays into varying lines of business, across all kinds of changing regulatory regimes. Their guidance and insights have been consistently both well-informed and down-to-earth. It’s a relationship we continue to greatly value.”
Gordon T. Wegwart
President, Chief Investment Officer
Verity Asset Management | Verity Investments, Inc. Durham, NC
“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 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 area 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, Managing Director
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.”
Das Borden, President/CEO
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
“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
“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 the 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!”
Tom Clark
Republic Strategic Advisory, Inc.
“Using B/D 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 system.”
James K. Dilworth
Dilworth Global Placements Corp.
“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
“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 a 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
“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.
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.
“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.