Quadrant Compliance Group LLC

Quadrant Compliance Group LLC offers compliance services to Broker-Dealers and Registered Investment Advisers. Our consultants will guide your startup during the registration process and will provide support for ongoing compliance with applicable regulatory requirements. We can file your registration, respond to regulators during inquiries and examinations, conduct the annual FINRA Rule 3120 or SEA Rule 206(4)-7 supervisory reviews, provide targeted training, and draft all written procedures. In addition, we can provide expert guidance to your in-house Chief Compliance Officer.

Quadrant Financial Group LLC

Quadrant Financial Group LLC provides outsourced Financial and Operations Principal (FinOp), accounting, and bookkeeping services. Our services include, but are not limited to, monthly accounting, net capital computations, the electronic filing of all financial reports, assisting with the preparation of the annual audit, and acting as a liaison between your firm and regulators. Our experienced staff of accountants and Series 27 professionals can serve as the FinOp on behalf of your firm, or assist your FinOp with financial record keeping and regulatory matters.

Quadrant Audit Group LLC

Quadrant Audit Group LLC specializes in conducting independent anti-money laundering tests of financial firms. The test is tailored to determine compliance with the Bank Secrecy Act, Federal, SEC, and SRO rules and regulations. All of the individuals within this group are Certified Anti-Money Laundering Specialists (CAMS)