RND RESOURCES, INC.
Who We Are
The RND Resources 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
RND is devoted exclusively to providing accounting, back office, 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, veteran compliance and registration specialists, CPA’s, MBA’s, FINRA experienced examiners and proprietary trading and back office software are available to assist you in one coordinated program.
RND integrates business planning, compliance, operations, trading and registration services. We won’t file your application and then remain inaccessible. RND will be there to assist you, year after year. We also remain to guide you in such matters as advertising, record keeping, compensation, recruitment and net capital requirements. We even alert you about due dates for renewals and requirements for year end filings.
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.
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.
“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
Profile for Anna Felipe
Anna Felipe serves as a Compliance Consultant for RND Resources, Inc. 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.
Anna earned a Bachelor of Science degree in Applied Economics from De La Salle University in Manila.
James Burton – CRD, IARD
James Burton 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 uses his expertise in the 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.
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.
Amie Singer, MS – Public Relations
Amie is the Marketing Officer at RND Resources, 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.
RSM US Alliance – Alliance of Consultants & CPAs
RND Resources Inc is a proud member of RSM US Alliance giving us access to technology tools and experts to better serve our clients. RSM Alliances national network of firms spans 38 states and allows members to leverage the country’s fifth largest provider of audit, tax, and consulting services.
Read more about our membership with RSM US Alliance