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 Fines Morgan Stanley $10 Million for AML Program and Supervisory Failures
- FINRA Foundation Establishes Nation’s First-of-Its-Kind Grant Program to Help Public Libraries Aid Consumers Following Natural Disasters
- Report from FINRA Board of Governors Meeting – December 2018
- FINRA Sanctions Merrill Lynch $6 Million for Selling IPOs to Industry Insiders
- FINRA Publishes Report on Selected Cybersecurity Practices – 2018
- FINRA Fines UBS $5 Million for Significant Deficiencies in Anti-Money Laundering Programs
- SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
- SEC Brings Charges in Edgar Hacking Case
- JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
- Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
- Martha Miller Named Advocate for Small Business Capital Formation
- Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations
- SEC Charges Audit Firm and Suspends Accountants for Deficient Audits
- SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions
- 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