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.
- Report from FINRA Board of Governors Meeting – March 2018
- FINRA Foundation Seeks Applicants for Military Spouse Fellowship
- FINRA Warns Investors of 'Regulator' Imposter Scams
- FINRA Foundation Announces New Appointments to Board of Directors
- FINRA Releases Paper Providing Perspectives on Customer Recovery
- New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation
- FINRA Fines Wedbush Securities Inc. $1.5 Million for Customer Protection, Net Capital Rule Violations and Related Failures
- SEC Proposes Transaction Fee Pilot for NMS Stocks
- SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
- Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud
- Former Equifax Executive Charged With Insider Trading
- Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
- SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks
- SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors
- 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
- Electronic Communication “Let’s Talk Supervision”