Leading outsourcing for broker-dealers

Compliance Consulting

Instant access to deep expertise for compliance.

Specialized expertise without the expense of hiring in-house..

Industry-wide best practices that you can trust.

Compliance services are our specialty.

Broker Dealer Compliance services are our specialty. From compiling
confidential internal compliance risk audits to creating in-house
compliance control processes, JSM is able to support and enable your
mission critical compliance functions:

What we can do for you

If Needed

Full CCO Outsource


Supervisory Controls Assessment

AML Audit

Independent Testing

AML Procedures

Annual Compliance Meetings

Books & Records

Business Continuity Plan

Regulation Best Interest

(Reg. BI) & Form CRS

CE Plan

CFTC/NFA filings

Customizable to Firm

Compliance Procedures

Customer Compliant

Review and Filing

Cycle Exam Assistance


System Establishment & Review

FINRA Inquiry Assistance

Firm Gateway Management

Regulatory Filings

Attestation Requirement & Review

Registered Rep

Risk Assessment

System Development – Compliance

Unlimited Access to Consulting Staff

Written Supervisory Procedures

Looking for more details?

Call, email or leave a message telling us about what you're looking for.
We'll reach back to schedule a consultation to see how we can help you.


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