Company Information

Get to know FirstMark Regulatory Solutions

FirstMark Regulatory Solutions is a specialized consulting firm dedicated to providing compliance and registration services for financial entities such as broker-dealers and investment advisers. The company's mission is to offer high-quality, cost-effective support, helping clients navigate the complex regulatory landscape of US agencies like FINRA, the SEC, NFA, and state regulators. Their services range from new firm registration and creating compliance programs to ongoing support and handling regulatory inquiries.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

Contact

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FirstMark Regulatory Solutions

United States

Founded in

2013 (13 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Reviews

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Regulated

Recommended

(73 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.