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.
- Report from FINRA Board of Governors Meeting – December 2019
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
- FINRA Orders Oppenheimer & Co. Inc. to Pay $3.8 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
- FINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure
- FINRA Sanctions Five Firms for Failing to Reasonably Supervise Custodial Accounts
- FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations
- FINRA, Cboe, Nasdaq, NYSE and Affiliated Exchanges Fine Credit Suisse Securities $6.5 Million for Supervision and Market Access Rule Violations
- SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme
- SEC Names Allen Blume as Deputy Chief Financial Officer
- SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources
- Fee Rate Advisory #2 for Fiscal Year 2020
- SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
- SEC Proposes Improvements to Governance of Market Data Plans
- SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
- 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
- FINRA Tolerance for AML Compliance Failures Fading