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 – February/March 2019
- FINRA Fines Cantor Fitzgerald $2 Million for Regulation SHO Violations and Supervisory Failures
- FINRA Foundation Seeks Applicants for Military Spouse Fellowship
- FINRA Working Paper: High Broker-Affiliated ATS Order Routing Associated with Lower Fill Rates, Higher Costs
- FINRA Launches New Initiative for Member Firms to Self-Report 529 Savings Plan Violations
- Market Volatility Drives FINRA’s Volume to New Record in 2018
- FINRA Releases 2019 Risk Monitoring and Examination Priorities Letter
- SEC Names Jeffrey Dinwoodie Senior Counsel and Policy Advisor for Market and Activities-Based Risk
- Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs
- SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds
- SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
- Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office
- SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
- SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets
- 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