Broker-Dealer Memberships
Your guide to seamless registration.
Tap into our diverse & expansive compliance knowledge to supercharge your broker-dealer membership process.
Outsourced Chief Compliance Officers
Premier provider of Compliance Outsourcing
We are a full-service Investment Management Solutions Firm that provides outsourced CCO solutions for broker-dealers and investment advisers, including full-service compliance programs, tailored to specific needs.
Financial and Operations Principal
Trusted partners in enhancing your practice.
Partner with our licensed Series 27 professionals with the requisite experience, and who will support and enhance your existing FinOp practices while protecting your firm and clients.
Service Model & Verticals
Precise and Tailored approach to hedge your risk.
Our team recognizes that compliance is not a one-size-fits-all endeavor and tailors their advisory services accordingly. This adaptable approach ensures that clients can efficiently navigate the complexities of compliance while optimizing their resources to meet their business objectives.
Broker-Dealer Membership
By outsourcing your registration process, you can effectively control expenses while tapping into our renowned industry experts, resulting in a more efficient and seamless procedure.
FinOp Services & Supervision
We monitor the books and records and monitors a FINRA member firm’s adherence to industry net capital rules and related rules and regulations, as well as the filing of all financial regulatory reports.
Outsourced CCO Services
We appoint experienced professionals to serve as the designated Chief Compliance Officer for your company and oversee your compliance program.
Compliance Consulting
We assist in various crucial compliance functions, ranging from assembling confidential internal compliance risk audits to establishing in-house compliance control processes, all aimed at supporting and facilitating your mission-critical compliance objectives.
Cyber Security
Regulatory bodies prioritize cybersecurity, and Mark Paverman's network of partners can help ensure your firm is ready for assessment regarding its cybersecurity risk management and data protection measures.
RIA Compliance
Our experienced professionals can help you register with any state or the Securities Exchange Commission (SEC), serve as or aid your Chief Compliance Officer (CCO), and ensure ongoing industry compliance for your firm.
Who we serve
Dedicated and Trusted partner
Mark Paverman has been a dedicated partner to Broker-Dealers and Registered Investment Advisers for more than four decades. Our comprehensive services span from outsourced FinOp and CCO roles to cybersecurity compliance consulting, ensuring strong financial accounting and regulatory compliance support throughout the years.
We partner with a wide array of financial services companies at all stages of growth.
Testimonials