BROKER-DEALERS

SDDco Group was named the #1 leading outsourcing consultant firm for broker-dealers in 2017. SDDco Group provides a variety of services for broker-dealers, including FinOp, Regulatory Services, Anti-Money Laundering programs, Cybersecurity, and more.

 

S.D. Daniels & Co., P.C. (SDDco-PC), a CPA firm and founding entity of the SDDco Group, provides both filing all regulatory reports and supervisory services tailored to the needs of broker-dealers. Every broker-dealer is required to maintain the services of a FINRA Series 27 Financial and Operations Principal (FinOp). SDDco-PC personnel can fulfill that role.

 

An SDDco-PC FinOp can be engaged to perform and supervise all aspects of the mandatory functions for FINRA-member broker-dealers. Our FinOp services include managing financial duties, FINRA filings, authority assistance, and more.

 

SDDco Regulatory Services, LLC (SDDco-RS) provides full-service compliance consulting to broker-dealers (BDs) seeking FINRA membership application services, ongoing regulatory compliance, consulting and support, and SDDco-RS can act as your designated Chief Compliance Officer.

 

S.D. Daniels & Company, LLC (SDDco-LLC) also provides independent testing of the Anti-Money Laundering (AML) programs of FINRA member broker-dealers. Our testing professionals are Certified AML Specialists (CAMS) and members of the Association of Certified Anti-Money Laundering Specialists (ACAMS).

Other Firms We Assist:

  • Third-party marketers
  • Foreign firms operating under Rule 15a-6 of the US Securities Exchange Act
  • Introducing brokers
  • Mergers & acquisitions brokers
  • Underwriting brokers
  • Proprietary trading brokers

Services:

  • Regulatory Exam Support
  • Registration & Filings
  • FinOp Services
  • Outsourced CCO
  • AML Testing
  • Accounting and Tax Services
SSDc Firms We Assist