Welcome to JSM Advisors

Mitigate Compliance Risk.
Defend with Expertise.

From outsourced CCOs and FinOps to Litigation Support and Expert Testimony, we help Broker-Dealers, RIAs, and Legal Teams reduce compliance risk and succeed in regulatory disputes.

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Tailored Compliance Solutions for Broker-Dealers & RIAs

Explore our core services built to help financial firms register, stay compliant, manage risk, and resolve regulatory disputes with confidence.

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Broker-Dealer Membership

Simplify your FINRA broker-dealer registration with expert support that reduces delays, controls costs, and ensures full regulatory compliance from day one.

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Outsourced CCO Services

Appoint an experienced outsourced Chief Compliance Officer to lead your compliance program, meet regulatory requirements, and strengthen firm-wide oversight.

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FinOp Services & Supervision

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Compliance Consulting

Support your firm’s mission-critical objectives with internal compliance audits, supervisory control processes, and regulatory guidance tailored to SEC and FINRA standards.

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Expert Witness & Litigation Support

Unbiased financial expertise for securities disputes, regulatory investigations, and arbitration—trusted by law firms, regulators, and compliance teams.

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Why Financial Firms Choose JSM

Broker Dealer Memberships

Approval in under 12 weeks.

Broker-dealer & NFA memberships

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Compliance Solutions

Trusted by Leading Financial Firms over 20+ years

Outsourced CCO
Fin Ops
Compliance Consulting

Trusted Litigation Experts

Backed by 50+ Expert Testimonies in FINRA & NFA proceedings

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Hear it from our clients

"
We've been partnering with JSM Advisors for over two decades, and their expertise in regulatory compliance has been invaluable to our brokerage firm. Their team consistently ensures that we meet all necessary regulations and standards, allowing us to focus on our core business. JSM Advisors is not just a service provider; they are an integral part of our success.
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Brokerage Firm

"
As a Registered Investment Advisor, compliance is paramount in our industry. JSM Advisors has been our trusted compliance partner for the last 15 years, and their services have been exceptional. Their knowledgeable team and personalized approach have made navigating the complex regulatory landscape a breeze. We highly recommend JSM Advisors to any RIA looking for top-tier compliance solutions.
"

Wealth Management Firm

"
JSM Advisors has been instrumental in our broker-dealer's success. Their regulatory compliance services are comprehensive and tailored to our specific needs. From membership registration to ongoing oversight of our books and records, they've consistently exceeded our expectations. Their experienced team has saved us both time and money while ensuring we remain fully compliant.
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Independent brokerage firm

"
As a smaller broker-dealer, we were concerned about the cost and complexity of maintaining compliance. JSM Advisors came to our rescue. Their cost-effective solutions and outsourced Chief Compliance Officer (CCO) services have allowed us to meet all regulatory requirements without the burden of hiring and training in-house staff. JSM Advisors is a true partner in our growth.
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wealth management FIRM

"
I can't express enough how valuable JSM Advisors has been to our firm. For four decades, they've consistently demonstrated their expertise and commitment to our compliance needs. Their proactive approach to regulatory changes and their quick response to our inquiries have made them an indispensable part of our Registered Investment Advisor practice. We're proud to have JSM Advisors on our team.
"

Financial Planning Service Provider

Let’s Simplify Compliance.

And Strengthen your Firm.

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