Why RND Resources

Since 1984, RND Resources has been a leader in providing compliance consulting services to financial securities businesses. We offer consulting services in FINRA and SEC compliance, regulatory audits, broker-dealer and RIA formation, and administration. Many firms find keeping up with complex FINRA and SEC rules quickly becomes a full-time job; most busy financial professionals do not have time. By taking advantage of our expertise in regulatory compliance, busy clients are able to dedicate themselves to other aspects of their business such as building clientele.

RND Resources utilizes a team of experts to work with many types of financial service firms. We support; broker-dealers, registered investment advisers (RIAs), futures commodity merchants (FCM), banks, hedge funds, private equity groups, insurance companies, municipal dealers, fintech service providers, and more. If you’re starting a new practice and need help with strategy, formation, and member application you can trust us. If you have an established firm and are looking for a better approach to regulatory compliance, or have uncertainty about FINRA rules, RND Resources offers vertically integrated compliance solutions. 

New clients are professionally on-boarded starting with an introduction consultants who conduct a thorough diagnostic evaluation of your firm.  Based on this analysis we develop vertically integrated solutions to bring your firm up-to-date with current financial industry standards for compliance, audit and regulation.

RND Resources is dedicated to providing quality consulting services to clients. We deliver service in a timely and cost-effective way. Our knowledgeable and experienced consulting team is committed to providing high quality services. BD’s, RIA’s, and Fund Managers have trusted us for over 30 years.  We pride ourselves in our ability to provide the highest level of service for regulatory compliance expertise, and build long-lasting, successful partnerships with our clients.

We look forward to working with you soon. Contact us

More about RND Resources…

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RND Resources Services

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Sentry Compliance Software

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