BROKER DEALER SERVICES
Wall Street has been working in the Broker Dealer industryfor decades. The services below highlight many facets of the brokerage industry where we offer our services.
- Audits
- Complaint Management and Reporting
- Anti-Money Laundering
- Registrations
- Licensing & Waivers
- 1017 Application
- 3012/3130 Testing and Certification
- BD Expansion
- Policy & Procedure
- Continuing Education & Training
- Advertising & Marketing
- Disclosure Development
- Research Department Supervision
- Books & Records
- Website Review
- Annual Compliance Meeting
OTHER SECTORS
Wall Street also provides servicesto financial services firms in other areas as well. Follow the links below to explore what we can do.
OTHER SERVICES
In addition to consulting for broker dealers, investment advisors and hedge funds, we offer the following serivces and products.