Broker-Dealer Consulting

At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), we offer a wide range of services for those looking for broker-dealer compliance consulting. We provide assistance to those who are initially registering, implementing, or looking to enhance their existing compliance program. Our specialists can help with registration and FINRA compliance requirements, as well as assist with the development of effective written supervisory procedures. For established broker-dealers, we offer assistance for those requiring updates to membership applications, as well as guidance with ever-evolving regulatory standards to ensure requirements and deadlines are met.

Our team offers comprehensive evaluations, enhancement of internal controls, implementation of technology, and practical compliance solutions. We have extensive experience in the securities industry, with a deep understanding of the complexities and intricacies of a broker-dealer. Whether you’re in need of comprehensive compliance solutions or individualized services, we work to meet the unique needs of your business – with solutions that support your firm’s overall compliance efficiency.

Get Customized Broker-Dealer Consultation Services

Core Compliance

can help you with:

  • Broker-Dealer Compliance Guidance & WSP Development
  • Performing Annual Compliance Reviews, Gap Analysis, & Testing
  • Licensing & Registration Services
  • Conducting Branch Office Audits
  • Serving as Your Chief Compliance Officer
  • FINRA Examination Preparations & Assistance 
  • Advertising & Sales Literature Reviews
  • Firm Element & Annual Compliance Training
  • EB-5 Assistance
  • And Much More

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“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”

Michelle L. Jacko, CSCP, CEO

Dedicated to Supporting the Strength of Your Compliance Program