RND RESOURCES, INC.

Who We Are

RND Resources

The RND Resources Inc consulting team consists of veteran compliance and registration specialists, CPAs, MBAs, and FINRA rules compliance experienced examiners. Our experts are dedicated to ensuring that our financial industry clients are implementing the correct compliance and risk management strategies.

Our dedicated team of experts come together in one coordinated program to assist you and your organization and keep your firm up-to-date with the latest government regulations, including the ever changing FINRA rules.

 

Why Choose RND

Why Choose RNDRND is devoted exclusively to providing accounting, registration, and compliance services to the investment community. It is all we do, and we pride ourselves on the breadth and quality of the services we offer.
Unlike the competition, RND can be your sole source for all the expertise necessary to efficiently organize your accounting, back office and compliance function. As your needs dictate, our compliance and registration professionals prepare a vertically integrated compliance program using proprietary tools and strategies.

RND applies vertically integrated strategies for business planning, compliance, operations, trading and registration. We have been here to assist firms year after year. We remain committed to guiding firms in such matters as procedures and policies, record keeping, exam remediation, regulatory filing requirements, and principal registration. Feel free to reach out to us with complex problems or even the simplest matters requiring assistance. 

 

Our Team

Radhi Banerjee

Has been a compliance consultant to broker-dealers and registered investment advisors (RIA’s) since 1990. With her many years of compliance consulting, she has acquired an in-depth expertise in FINRA compliance, as well as other areas of the financial industry. She has successfully helped guide hundreds of investment professionals through the ever changing maze of compliance regulations.

Radhi Banerjee earned her MBA from Thunderbird, The Garvin School of International Management located in Glendale, Arizona.  Read more about Radhi

 

Dave Banerjee, CPA

Has been a compliance and accounting professional since 1990. He has successfully developed and led a regulatory compliance team that has served numerous registered investment advisers, broker-dealers and other financial professionals.

As a compliance industry professional with securities expertise, Dave is a FINRA member holding several series registrations including; 24 and 27. Dave can act in the capacity of interim or permanent CCO or CFO. Dave is also CPA and member of PCAOB. Read Dave’s complete profile.

Dave conducts compliance and CPA training webinars, and is a frequent speaker on regulatory issues.linkedin

“Dave is a consummate professional – His work was always excellent – and he is extremely knowledgeable in the details of the subject matter.”

Arthur A – July 2011


 

Anna Felipe – FINRA, SEC compliance

Anna Felipe serves as a Compliance Consultant  Since 2006, Anna’s focus is the analysis of compliance issues related to SEC and FINRA rules.  Her experience includes working as a Compliance Examiner with FINRA Member Regulation.  Her specialization includes strategic planning and filing of New Membership Applications (1014) and Continuing Membership Applications (1017) and assisting broker-dealers with regulatory examinations including the preparation of responses to alleged deficiencies. Learn more about Anna’s background.

 

Anna earned a Bachelor of Science degree in Applied Economics from De La Salle University in Manila.

James Burton – CRD, IARD

James has over 15 years experience in the use of the various registration systems to include FINRA Firm Gateway, MSRB Gateway, NFA, online registration system ORS and state insurance licensing. He has expertise in registration of broker-dealers, investment advisors, municipal securities rulemaking board (MSRB), National Futures Association (NFA), state registration (firm and Agents), insurance licensing (agency and producer).

Mike Rokhi, MA – Accounting

Uses his expertise to provide the accounting (CPA compilation), regulatory reporting (including FOCUS, SSOI filing, Schedule I ), and FINRA compliance reporting for broker- dealers. Mike also oversees and maintains year end schedules for the annual certified audits.

Mike earned his Masters of Accounting and Financial Management from Keller Graduate School.

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Mike on LinkedIn

 

Tarik Munisoglu – Business Development

Tarik has specialty industry knowledge having worked with a number of clearing houses including Paine Webber, Fidelity, and Wedbush. He is described as a versatile, results oriented, financial services professional yielding an outstanding record of accomplishments in sales, relationship management, consultation and operations.

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Tarik on LinkedIn

 

Amie Singer, MS – Public Relations

Amie is the Marketing Officer with responsibility for marketing programs, brand management, and facilitating speaking engagements and webinars. Amie’s greatest strengths are her creativity, drive, and leadership. She thrives on challenges, particularly those that expand the firm’s reach.

Amie has a background in accounting as well as marketing. She has been a member of the American Marketing Association and California Association of Business Brokers.  

Amie holds a Bachelors of Science from California State University and a Master of Science from Full Sail University.