FirstMark’s Philosophy …
FirstMark was founded to provide high-quality, expert investment adviser and broker-dealer consulting services at competitive prices. In an industry in which quality varies widely, some end up paying a high price for services of questionable quality. And worse, prices aren’t easily discernable. Instead, they can be buried in monthly contracts for bundled services that are seldom used. That is why FirstMark seeks to offer a high-quality RIA and BD consulting product at a cost that is totally transparent.
Quality is not only about delivering a product that is technically accurate. It is also about delivering a product that the client and the regulators will respect.
Hiring a consultant with extensive broker-dealer expertise is a must in today’s challenging regulatory environment. FirstMark has the expertise to deliver a high-quality product, and to deliver it on time. FirstMark understands that the costs of regulation have increased, while margins are down. FirstMark delivers the services you want at a fair price that is simple to understand.
How we do it…
When you want information about a service, you speak directly with FirstMark’s founding principal, not a commissioned salesperson and not a junior consultant. After assessing your needs, FirstMark provides you with a plain-English written proposal detailing the costs, timeframes and deliverables for the project. Upon engagement, FirstMark will promptly provide a project checklist with items needed to get started. FirstMark offers competitive pricing by intelligently controlling costs and by employing RIA or BD consulting experts who thoroughly understand the subject matter of each project.
Simple, fair pricing.
Pay for services you want.
Reasonable, flexible annual service agreements.
Quality results – on time.
Direct, thoughtful answers – when you need them.
Trust your important projects to an expert.
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
- FINRA Appoints Greg Ruppert Executive Vice President of National Cause and Financial Crimes Detection Programs
- New Research: Female Investors Lag Behind Male Counterparts in Investment Knowledge and Confidence
- FINRA Sanctions Five Firms for Failing to Reasonably Supervise Custodial Accounts
- Report from FINRA Board of Governors Meeting – March 2020
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Launches New Data on Treasury Securities Trading Volume
- SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
- SEC Awards Over $1.6 Million to Whistleblower
- SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19)
- SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
- SEC Emergency Action Stops Digital Asset Scam
- Jury Finds Investment Adviser and its Owner Liable for Fraud
- Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor
- Join Mitch Atkins at the FINRA Arbitration and Enforcement Regional CLE Program
- Mitch Atkins to Speak at 2019 FMA Securities Compliance Seminar
- Atkins Discusses FinCEN CDD Rule on FINRA AML Panel
- AML Surveillance – Major FINRA AML Case
- Mitch Atkins Presenting at FINRA South Region Conference
- Epic BD AML Compliance Failure Yields Another Record Fine