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 – September 2018
- CFA Institute and FINRA Foundation Study Debunks Common Myths about Millennials and Investing
- FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
- FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
- FINRA Launches New SIE Exam to Streamline Examination Process for Prospective Candidates Entering the Securities Industry
- FINRA Foundation Awards 2018 Ketchum Prize to Dr. Annamaria Lusardi
- FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Florence
- SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
- SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top
- SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
- SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
- Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC
- SEC Monitoring Impact of Hurricane Michael on Capital Markets
- SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station
- 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