Testimonials

“Understanding the dynamics of FINRA member firms, their business models and how to apply risk based processes to protect the firm and ultimately the industry at large is exactly what sets Quadrant Compliance apart from its competitors. I cannot begin to quantify the value, the level of expertise and professionalism Calvin and Nick bring to the table as a partner. Their broad based knowledge and the confidence in their responsiveness is unmatched in the industry. At the end of the day, partnering with Quadrant Compliance offers firms the opportunity to confidently evolve and ultimately be better at what they do.”
-Compliance Officer, Trading Broker-Dealer

“I have found Quadrant to be a fully engaged and responsive partner in our Compliance area. We switched to them a few years ago and the difference between Quadrant and our old consultant was night and day! They are well-versed in all areas of compliance and have helped our staff become more knowledgeable in this area as well. I have recommended and will continue to recommend Quadrant as “Best in Class!”
-Compliance Officer, M&A Broker-Dealer

“Working with the folks at Quadrant was a pleasure, they provided us with exceptional services and a level of professionalism and knowledge seldom seen. Their testing program was extensive and covered a wide breadth of areas that would impress any auditor or examiner.”
-Compliance Officer, Trading Broker-Dealer

“Quadrant Compliance Group (“Quadrant”) has conducted our NASD Rule 3012 Audit for several years. This audit is necessary to remain in compliance with the submission of the NASD Rule 3013 annual certification. The team at Quadrant brings a strong knowledge of FINRA and SEC rules and regulations. Quadrant also provides the experience and sophistication to explain the rules; and requirements to adhere to them in an easy to understand manner. The audits are conducted in a firm, but fair way to self-prepare for a true regulatory examination. As a former NASD Examiner, and Chief Compliance Officer at both an Investment Advisor and Broker-Dealer, I would recommend the services of Quadrant Compliance Group.”
-Compliance Officer, Trading Broker-Dealer

“Quadrant has provided our Firm with superior service for multiple years. The high-quality and prompt response time afforded by their staff is unmatched and highly appreciated. Keep up the great work!”
-Compliance Officer, International Broker-Dealer

Testimonials