Compliance Services

Compliance & Capital Consultants LLC specializes in compliance consulting to the financial services industry and will assist your compliance department in implementing an efficient and effective compliance program.  Compliance & Capital Consultants LLC offers a variety of consulting services to meet the compliance needs of your broker-dealer or registered investment adviser.

Compliance officers of can get overwhelmed at times with the ever changing regulatory requirements. Whether compliance officers require a tailored service, such as email reviews, or ongoing consulting assistance, Compliance & Capital Consultants LLC can provide support for them and help compliance officers to design and implement compliance programs to adhere to industry rules. Our services are provided based on the specific needs of each client.


If you are ready to start your own broker-dealer or registered investment adviser then Compliance & Capital Consultants LLC has the experience and expertise you need. 

Compliance & Capital Consultants LLC provides assistance with initiating the application through the final decision. We are able to author your business plan, written procedures and responses to regulators. You can depend on us to keep your application on track to obtain a timely approval to commence conducting business.

Regulatory Requirement

A Financial and Operations Principal (“FinOp”) is an important role required for all broker-dealers. Compliance & Capital Consultants LLC will serve as a part-time offsite FinOp for your firm, or assist your own FinOp, in keeping financial books and records accurate and up-to-date, preparing and filing financial regulatory reports and assisting with the annual audit. 

Compliance & Capital Consultants LLC


FINRA New Member Application

FINRA Continuing Member Application

SEC and State Investment Adviser Registration

Compliance Solutions -

  • Compliance Manuals
  • Code of Ethics
  • AML Programs
  • Business Continuity Plans 
  • Financial and Operations Processes
  • Cybersecurity Policies

Registration - Firm and Individual

Supervisory and Annual Reviews  

AML Testing

Part-time FinOp Services

Mock Regulatory Exams

Branch Office Inspections

Communications with the Public Reviews

Firm Element Continuing Education

Compliance Training

Regulatory Exam Response Assistance

​Email Review