BD Financial Services Group operates as an associated partnership created by an investment-banking professional who has acted as Chief Financial and Operations Principal and Chief Compliance Officer with significant senior-level financial and compliance experience. Affiliated and associated partners include former FINRA/NASD/SEC compliance examiners, Certified Public Accountants, and attorneys practicing in various areas including private securities law, dispute resolution, and hearings and appeals proceedings with FINRA and the SEC. Our principals have significant experience establishing, developing, and managing broker-dealers engaged in general securities, investment banking and asset management. BD Financial Services Group assists broker-dealers, investment advisors, and often other broker-dealer consultants by drawing upon its diverse partners and associates. We provide our clients with relevant interpretation, effective defenses, and initial compliance controls, and, when necessary, developing a defense to mitigate the consequences of actual or perceived industry non-compliance; allowing our clients to spend their time operating their businesses and making money… not answering 8210 requests and allocating significant resources to appeasing regulators.