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 LPL $2.75 Million for Complaint-Reporting and AML Program Failures
- Report from FINRA Board of Governors Meeting – September 2018
- CFA Institute and FINRA Foundation Study Debunks Common Myths about Millennials and Investing
- FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
- FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
- 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
- SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
- SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process
- Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports
- SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
- Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers
- SEC Charges ITG With Misleading Dark Pool Subscribers
- Citibank to Pay More Than $38 Million for Improper Handling of ADRs
- 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