FirstMark Regulatory Solutions Email Format
Financial ServicesFlorida, United States2-10 Employees
FirstMark Regulatory Solutions is a compliance consulting firm serving the financial services sector, focusing on broker-dealers registered with the SEC and FINRA, their accountants, and their attorneys. The firm assists clients in navigating complex and evolving regulatory requirements, including FINRA membership processes, anti-money laundering testing, and related compliance activities. Based in Boca Raton, Florida, the company emphasizes expertise drawn from leadership with experience at FINRA and specializes in guiding organizations through regulatory applications and independent testing. The target market includes financial services firms seeking guidance on membership applications, regulatory procedures, and AML controls.