Founded in 1997, Broker/Dealer Concepts, Inc. is a specialized consulting firm dedicated to offering comprehensive compliance and operations solutions to financial firms. The company assists broker-dealers and investment advisers with a wide range of services, including FINRA and SEC registration, ongoing compliance management, anti-money laundering (AML) audits, and outsourced operations and financial reporting. Their mission is to provide expert guidance and support to help clients navigate the complex regulatory landscape of the financial industry.

Founded in

United States