Our Clients: Broker-Dealer Firms

Broker-Dealer Consulting Services For Growth

We understand the challenges you face to growing your firm. Our experts have been in your position, working at some of the largest broker-dealers in the US. We understand the complexities and challenges of running a successful broker-dealer firm. Our consultants will help you define your goals and get there.

Whether you’re starting or expanding your brokerage, we have you covered. Oyster Consulting provides tailored, beginning-to-end broker dealer services. As former regulators, we can streamline the registration process. Our compliance consultants have taken many firms successfully through the New Member Application (NMA) and Continuing Member Application (CMA) process.

Managed Risk and Balanced Regulatory Requirements

We specialize in balancing regulatory requirements set by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) with your daily operations to safeguard your firm and clients. We offer a team of compliance, operations, and strategic professionals suitable for broker-dealers of any size or type.

How We Help Broker-Dealers Like You:

• Efficient Compliance Procedures: We create compliant written supervisory procedures to protect your firm and clients.
• Error Reduction: Aligning processes with policies and procedures ensures employees consistently follow approved methods, minimizing errors and compliance breaches.
• Comprehensive Support: Our experts can create your compliance program, ensure trade desk operations follow rules, test controls, and offer outsourced help for positions like COO, CCO, and FINOP.
• Resource Optimization: With our expertise, you can optimize resources while managing risk and achieving compliance.