Our Services

Whether it's financial services such as FOCUS reporting, FINRA Compliance, FINRA registration, branch office auditing or starting a new broker dealer, we promise to take the time to get to know you and your business, clearly understand your goals and objectives, and invest ourselves completely in the achievement of those goals with you.

Broker-Dealer Registration

Starting a new Broker/Dealer can seem like an overwhelming task. Our experienced consultants can perform the majority of the workload for you.

Membership Changes

If you have a Change in Ownership or a Material Change in Business Operations, you must file for approval with FINRA, pursuant to rule 1017.

FinOp
Services

Outsourcing your FINOP Services allows you to focus on your core business, and ensures accuracy and compliance in your financial department.

Audit
Services

The USA PATRIOT Act of 2001 requires that all securities firms establish an AML Compliance Program to prevent and detect the act of money laundering.

Compliance
Services

Finding the time to read and analyze all the information your firm receives from regulatory agencies can be challenging. We can help!

Technology Services

Brokerage Consulting Group offers complete Website development, email marketing and online marketing services. And more!

About Us

All about Brokerage Consulting Group

At a Glance

The Brokerage Consulting Group provides consulting and services to the broker/dealer industry. Brokerage Consulting Group provides broker/dealer start-up services, FINRA registration, FINOP services, web site development, and a variety of other services.


A Little More

Brokerage Consulting Group is a team of professional consultants offering financial services such as FOCUS reporting, branch office auditing and starting a new broker dealer. We customize our plan and approach to each client to meet their unique and specific needs. Regardless of your needs, be they small or large, Brokerage Consulting Group can help.

If you would like to speak with one of our professional consultants about any of your needs, please call or email us today!


A Personal Approach

Our goal at Brokerage Consulting Group is more than just excellent service, it's relationship building. We take a personal interest in your business and measure our performance by your success. Our "hands-on" approach allows us to build lasting and meaningful relationships with every client. Our goal is to get to know you and your specific needs.


Our Team

Carol Ann Kinzer - Partner

Carol Ann, a founding partner, has over 25 years of experience in General Management, Operations and Financial Management, including over 16 years as a Financial and Operations Principal (FINOP). She provides:

  • General Compliance Consulting
  • FINRA Rule 3120 ReviewsM
  • Anti-Money Laundering Independent Tests (Audits)


Cindy Garrard - Partner

Cindy, a founding partner, has over 20 years of experience as a Consultant to the Financial Services Industry. She is expert in a number of areas including:
  • New FINRA Member Applications
  • Continuing Membership Applications
  • Anti-Money Laundering Independent Tests (Audits)
  • Written Supervisory Procedures
  • FINRA Rule 3120 Reviews
  • General Compliance Consulting


Announcements

Rule Changes and Other News

Useful Industry Links

Some great links you may find helpful.

Contact Us

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