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Fundamental Compliance Consulting provides Broker/Dealers with guidance and services that support compliance with FINRA Rules, Federal Securities Laws, and Securities and Exchange Commission regulations . 

Fundamental imparts expert guidance regarding compliance and ongoing assistance to established and emerging FINRA member Broker/Dealers. Fundamental specializes in small Broker/Dealers with less than 50 Registered Representatives.

Regulation can be daunting, often confusing and sometimes contradictory.  So with more than a decade of experience in regulation, our team will provide you with guidance you can trust. Period.  
Guidance you can trust. Period.
​• Private Placement Firms

• Dual BD/IA Firms

• Floor Brokers
• M&A

• Retail

• Institutional
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