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.

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.

Years delivering Compliance Solutions


We help new or existing


Small, Large or New



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.

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.

Horizon Capital Brokers

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.

Summit Securities

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