FUNDAMENTAL COMPLIANCE CONSULTING

Fundamental Compliance Consulting provides Broker/Dealers with guidance and services that support compliance with FINRA Rules, Federal Securities Laws, and Securities and Exchange Commission regulations ... Fundamental imparts expert guidance regarding compliance and ongoing assistance to established and emerging FINRA member Broker/Dealers. Fundamental specializes in small Broker/Dealers with less than 50 Registered Representatives... Regulation can be daunting, often confusing and sometimes contradictory. So with more than a decade of experience in regulation, our team will provide you with guidance you can trust. Period.

Also known as: Fundamental Compliance Consulting, LLC

Primary location: Big Flats United States