RND Resources has over 30 years experience assisting new Broker-Dealer firms.

Our veteran professionals, CPAs, and MBAs integrate business planning and compliance to develop a customized program tailored to your firm. As a full-service firm we’re able to build a cross-the-board strategy that includes business planning, compliance, operations, trading, and registration into one coordinated plan. 

Benefit from:    finra.org

  • Full Service Brokerage Support
  • On-Site Audit Services
  • Expert Regulatory Consulting
  • Customized Compliance Programs

Firms we’ve assisted:

Broker-Dealers  |  Investment Advisors  |  Municipal Brokers  |  Investment Banks  |  Private Equity  |  Fintech & Emerging Technology  |  Commodity Trading Advisors  |  Futures Commission Merchants  | and more…

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