Kathy Lindh  (208)409-8077

• SEC, FINRA, and State Regulations
  
• FINRA CRD, IARD Filings 
  
• RR, IAR, and firm Licensing
  
• Insurance Licensing
  
• ​AML
  
• Compliance Manuals
  
• Main and Branch office Audits
  
• ​SEC Rule 206(4)-7 Audits
  
• Assistance with Regulatory Examinations
• RR and IAR Required Disclosures
• Click on Services below for more details...

​​​​​Broker-Dealer Compliance, LLC ​                                                     

FINRA, SEC Compliance Services for Broker-Dealers and RIAs

FINRA Regulatory Compliance Services