Wall Street Consulting Services (“Wall Street”) is one of the premiere full service compliance resource companies for broker dealers, investment advisors and hedge funds in the securities industry. Established in 1996, Wall Street was formulated as a result of a critical shortage of experienced reliable compliance experts and external industry consultants capable of delivering and meeting the rigorous compliance requirements of small and large firms alike.

The firm’s principals have decades of hands on global compliance expertise working with broker dealers, asset management firms and hedge funds from around the world. From the US to London, Hong Kong, Singapore or Sao Paolo, Brazil, Wall Street is ready, equipped and capable of managing all your compliance needs.

Wall Street is a hands on solution orientated firm. Our expertise lies in our ability to evaluate and translate one's deficiencies into effective functional products and resources that one can apply in a manner that not only meets one’s internal policy and procedural requirements but any regulatory scrutiny.

Our services are designed to meet the specific needs of various types of financial services firms. To explore all the services we offer please select the type of firm that best describes your business.




In today’s market environment, managing and supervising a firm’s compliance department can be quite a formidable task. The compliance function requires a myriad of specialized responsibilities, diverse tasks, specific knowledge and skills, challenging to the resources of virtually any securities firm.
compliance outsourcing

Securities litigation is a fact of life in the financial serivces industry. We have many years experience in dispute resolution including FINRA arbitrations, mediations and court appearances.
expert services

Whether speaking at an industry conference, participating as a panel member, lecturing on a specific industry topic or conducting your firm's annual compliance meeting, we have the compliance expert to meet your needs.
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Whether you’re interested in buying, selling or merging a broker dealer, investment advisor, whether a shell or actively producing firm, Wall Street Consulting has the expertise, knowledge and street contacts to ensure a smooth transition in an expedited manner. Please click below to view our BD Acquisitions page for our inventory and contact information.
Whether regulatory, statutory, procedural or just a practical how to, find the answers to those questions that have been slowing the effectiveness of your broker dealer, investment advisor or hedge fund supervisory programs.
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Purchase compliance documents that are completely customizable for your compliance or supervisory purposes.
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In today's dynamic environment Wall Street initiated a compliance resource referral service to meet today's increased demand for qualified compliance personnel and consultants. If you are an expert in your compliance discipline and are looking for fast paced challenging work inquire here to apply and be part of our referral resource team.

BD Week July 30, 2012
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BD Week May 14, 2012
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BD Week Nov 7, 2011
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BD Week Feb 28, 2011
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BD Week Jan 17, 2011
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BD Week Jan 11, 2011
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