About Broker-Dealer Compliance, LLC

Experienced. Thorough. Regulatory-Ready.

Broker-Dealer Compliance, LLC is a professional compliance consulting firm founded by Kathy Lindh. With years of hands-on experience in the financial services industry, Kathy provides expert guidance to Broker-Dealer and Registered Investment Adviser firms navigating the complex landscape of FINRA, SEC, and state regulatory requirements.

Kathy's approach is practical and thorough — she works directly with firms to interpret regulatory obligations, identify gaps in supervisory controls, and implement solutions that are both effective and sustainable. Whether preparing for a regulatory examination, updating compliance manuals, or managing FINRA CRD and IARD filings, Kathy brings the expertise and attention to detail that firms need.

Broker-Dealer Compliance, LLC serves firms of all sizes, from independent broker-dealers to large RIA practices, providing tailored compliance services designed to meet each firm's unique regulatory profile.