Founded in 1993, Broker-Dealer Compliance Associates, Inc. is a full-service compliance consulting firm dedicated to assisting broker-dealers and investment advisers with their regulatory obligations. The company offers a wide range of services, including new firm registrations with the SEC and FINRA, development of customized compliance programs, anti-money laundering (AML) independent testing, and ongoing compliance support. Their mission is to provide expert, reliable, and tailored solutions to help financial firms navigate the complex and evolving regulatory landscape.

Founded in

United States