Kathy Lindh - Compliance Principal

 "Not all firm's needs are appropriate for the large consulting firms."

Personalized and discreet assistance to Broker-Dealers and RIA firms, backed by over 30 years of continuous financial industry experience and a team of professional associates.  

Personalized assistance from Broker-Dealer Compliance, LLC can cover  FINRA, SEC, and State audit assistance, AML audits, Internal and branch audits, WSP, BCP, AML manuals as well as Continuing Education content, Rep Disclosures,  Operations assistance and Customer complaints.  Assistance with the set up of new firms, offices and reps can be provided as well as onboarding, FINRA CRD and IARD filings, and State Insurance licensing. 

Extensive experience with FINRA, SEC, and STATE regulatory Audits spanning over 30 years. FINRA, RIA, SEC, and state registrations, Reg Best Interest, and FORM CRS creation. 

A custom plan of services can be designed that can include one or many compliance tasks to assist your firm.  From hourly to project based or part-time assistance,  a free consult is available anytime. ​

Broker-Dealer Compliance, LLC

FINRA Series 7, 24, 55, 63