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 broker-dealer consultant with extensive 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 Announces Initiative to Transform CRD, Other Registration Systems
- FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
- FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
- Report from FINRA Board of Governors Meeting – May 2018
- FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
- FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
- FINRA Progress Report on FINRA360 Highlights Significant Changes
- SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
- SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office
- SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
- SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
- SEC Charges 13 Private Fund Advisers for Repeated Filing Failures
- Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis
- 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
- FINRA Tolerance for AML Compliance Failures Fading
- Atkins in Forbes: Email and Social Media Compliance